MDE05_2017_24May17 (Additional) (Translation) No.10/2017 May 24, 2017 President The Stock Exchange of Thailand Re: Notification of the Resolution of the Board of Directors’ Meeting No. 5/2017 We
MDT05_2017_24May17 (Additional) เลขที 10/2560 วนัที 24 พฤษภาคม 2560 เรียน กรรมการและผู้จดัการ ตลาดหลกัทรัพย์แหง่ประเทศไทย เรือง แจ้งมติคณะกรรมการบริษัท ครั 0งที 5/2560 บริษัท อิออน ธนสนิทรัพย์ (ไทย
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...
Microsoft Word - 2009-037EN The Information of the Connected Transaction (Additional) Ref.No.2009/037EN September 22, 2020 Subject Inform about The Connected Transaction of the contract of land lease
SEC has proposed additional risk management tools that asset management companies are able to select and use when dealing with events or factors causing investors to panic-sell or redeem their
Bangkok, June 12, 2015 ?The SEC is seeking public comments on proposed definition of qualified investor or angel investor for the purpose of investment in equity crowdfunding. This type of investor will be allowed to make investment without individual investment limit, similar to institutional investor, venture capital business, and private equity trust. Qualified /angel investor will be defined with objective to provide more flexibility for investor who is knowledgeable in the business raising...
Previously, the SEC instructed MVP to conduct a special audit in relation to certain transactions that raised concerns based on the auditor’s observations, the review of financial statement information, MVP’s clarification regarding its financial statements to the SET, and information obtained by the SEC. MVP was initially required to submit the special audit report by 23 January 2026*, and the SEC subsequently extended the submission deadline to March 31, 2026**.In this regard, MVP submi...
, 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
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...