SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC gives priority to the audit quality control system of audit firms in the capital market, and regularly inspects and issues inspection
reporting system of firms in the capital market. Furthermore, the quality control system of the audit firms greatly contributes to the quality performance of auditors. The SEC now requires that auditors in
knowledge sharing session on “Development and Framework for Technology Risk Control,” lectured by SEC executives. The occasion included a discussion on supervisory guidelines for technology risk control by
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...
Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000
Mr. Paiboon Dumrongwaree, Assistant Secretary-General of the Securities and Exchange Commission (SEC) participated in the panel discussion titled “Three Lines & One Control: The Role of Directors
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) โดยนายไพบูลย์ ดำรงวารี ผู้ช่วยเลขาธิการ ร่วมเสวนางาน “Three Lines & One Control บทบาทกรรมการและผู้บริหารในการยกระดับการกำกับดูแลองค์กร
ประเภทหลักทรัพย์ : ทรัสต์เพื่อการลงทุนในอสังหาริมทรัพย์ (REIT) | วันที่มีผลใช้บังคับ : 08/12/2557 | วันที่ปิดการขาย : 00/00/0000