Earlier, {X1} had under recorded its liabilities for short-term bills of exchange (B/E) in the annual financial statements for the financial year 2015. The SEC then reviewed the work of {X1}’s auditor and found audit deficiencies related to the issuance of B/E. The deficiencies resulted in {A}’s failure to detect the incomplete record of the B/E in the annual financial statements.The SEC has therefore suspended the approval for {A} as a capital market auditor for six months, starting from 19 Jan...
It is the SEC’s policy to increase SMEs’ business opportunities by allowing them more convenient access to financial services in accordance with the Master Plan under the 20-Year National Strategy
meeting concluded with primary suggestions as follows: (1) proxy voting: shareholders are advised to consider proxy voting through independent directors instead of in-person voting at
close the position of derivatives contract with SET50 underlying at-the-open (ATO) price as soon as the trading session began.* However, since the client sent the order after the trading had already
SEC Secretary-General Ruenvadee Suwanmongkol has announced key progresses concluded at the meeting with HK counterparts, as follows: (1) SEC and SFC will continue to work on the
Line at 1207 for further inspection. Any act found to be liable to an offense under the Securities and Exchange Act B.E. 2535 (1992) may be subject to legal action under the law, with both
SEC Secretary-General Ruenvadee Suwanmongkol has announced key results from the quarterly meeting with senior executives of all securities and derivatives business operators, which took place on 25
นางสาวจอมขวัญ คงสกุล ผู้ช่วยเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมสัมมนาออนไลน์หัวข้อ “In conversation with … The regulators” ในงาน Climate Risk Asia Week ซึ่งจัด
found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings
SEC Secretary-General Ruenvadee Suwanmongkol, along with SEC Deputy Secretary-General Sirivipa Supantanet, and management team met with H.E. Mr. Sou Socheat, Director General of the Securities and