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
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
comparison with foreign laws. TDRI is studying the pertinent laws in order to prepare suggestions for amendment of the Securities and Exchange Act. So far the study has covered the laws of 5 major countries
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...
, increasingly emphasize the importance of audit quality factor in the selection of auditors. Qualitative information in the firm inspection report is thus very useful for the selection process. In addition, the
Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000
ประเภทหลักทรัพย์ : ทรัสต์เพื่อการลงทุนในอสังหาริมทรัพย์ (REIT) | วันที่มีผลใช้บังคับ : 08/12/2557 | วันที่ปิดการขาย : 00/00/0000
Bangkok, February 8, 2011 ? The Criminal Court has extended the freezing order against assets of Wichai Chaisathaporn for another 90 days from January 25, 2011. Earlier on May 27, 2010, the SEC filed
on October 31, 2016. SEC Act S.246 Settlement Committee Meeting No. 1/2017 Settlement Committee Order No. 8/2017 Dated 18/01/2017
Act S.246 Settlement Committee Meeting No. 1/2017 Settlement Committee Order No. 9/2017 Dated 18/01/2017