Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its clien...
Bangkok, June 23, 2011 - The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from performing duty as an executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated that his misconducts on clients? assets involved dishonesty, deceit or embezzlement and wrongful use of client?s assets. Following the complaint lodge...
Bangkok, June 23, 2011- The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from acting as an executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated his fraud commission, embezzlement, falsying documents with the intention to illegitimately seek benefits from client?s assets. Following the complaint filed by...
Offeror : SF INTERNATIONAL HOLDING (THAILAND) CO., LTD. | Date of submission of the Statement of Intention : 08/02/2024
Offeror : SF INTERNATIONAL HOLDING (THAILAND) CO., LTD. | Date of submission of the Statement of Intention : 27/02/2024
Offeror : SF INTERNATIONAL HOLDING (THAILAND) CO., LTD. | Date of submission of the Statement of Intention : 08/03/2024
in the governing Notification to perform audit work and affix signature to express an opinion on audit reports of foreign business wishes to or granted approval for public offering of shares in
Federation of Accounting Professions (FAP); 2. The applicant must have the following qualifications as specified in the governing Notification: 2.1 having performed audit work and affixed signature to express
แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and