Bangkok, October 30, 2015 ? The Thai capital market is making progress toward adoption of the Organisation for Economic Co-operation and Development (OECD)?s revised Principles of Corporate Governance, which have been released at the 2015 OECD-Asian Roundtable on Corporate Governance in Bangkok today. Co-hosted by the OECD, the SEC, the Stock Exchange of Thailand (SET) and the Thai Institute of Directors Association (IOD) in partnership with the Government of Japan, the roundtable is a forum f...
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...
Type of securities : Common share | Effective Date : 22/11/2022 | Close Selling Date : 30/11/2022
Type of securities : Common share | Effective Date : 07/10/2022 | Close Selling Date : 26/10/2022
SEC has teamed up with the United Nations Development Program (UNDP) and the Global Compact Network Thailand (GCNT) in organizing a seminar titled, “From ESG to SDGs : Integrating SDGs Impact Measurement and Management Framework in Business and Investment Strategies” with an aim to move forward the Thai capital market’s sustainable development and promote the private sector’s compliance with the UN Sustainable Development Goals (SDGs).The seminar was held at The Athenee Hotel Bangkok, on 24 Febr...
During his opening remarks, Dr. Charnkrij Dejvitak, Vice Minister attached to the Prime Minister, as representative of the Minister of Finance, stated: “To achieve the Sustainable Development Goals (SDGs), the government cannot do it alone. It will require a shared responsibility and strong engagements of all stakeholders. Private sectors need to play a critical role in working hand in hand with the government to advance the course of development, and businesses are encouraged to invest i...
, 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...
Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000