of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its client activity oversight was insufficient to effectively verify the identity of clients or their
' trading orders via their mobile phones. In case of {C}, the SEC found that she did not record clients' trading orders completely, the SEC thus publicly disclosed her non-compliant performance and recorded
Socatiyanurak.Visitors will experience a variety of interesting activities with objective to enhance their financial literacy and enjoy meet and greet with famous artists in mini-concerts to share investment experiences
the company and its subsidiaries? failures to appraise the fair value of fixed assets in order to determine their realization value as well as the auditor?s dissatisfaction by means of other audit
the boards? understanding of their roles and responsibilities related to the CG Code and its practical relevance to the companies? business context, in the listed companies? disclosure.The revised Form
/microsite/lists.html.Rapee Sucharitakul, SEC Secretary-General, said: ?We truly admire the 30 institutional investors who will abide by the I Code. This reaffirms their intention to make responsible
Bangkok, August 29, 2011 ? The SEC has directed Scan Global Plc. ("SCAN") and SMC Power Co., Ltd., to rectify their financial statements for Q3/2010 and for the year 2010. Within August 28, 2011
employers to offer choices of investment policies that would manage retirement savings for their employees more efficiently,? said SEC Secretary-General Thirachai Phuvanatnaranubala. # # #
allowed to apply for derivatives brokerage license limited to precious metals while licensed gold futures brokers will also be eligible to apply for such license to expand their brokering service to silver
by virtue of their positions to purchase shares of Professional Waste Technology (1999) Public Company Limited (PRO). The SEC investigation, following a referral from the Stock Exchange of Thailand