In May 2024, the SEC conducted a public hearing on the proposed amendments to the regulations governing the management and storage of data related to digital asset business operations with the objectives of ensuring accurate and adequate information for effective and timely monitoring and supervision of operational risk of DA operators, and enhancing trust and confidence of stakeholders. Most respondents agreed with the principles and the proposed amendments to such regulations. The SEC has ther...
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Commission No. Sor Thor. 36/2561 Re: Management and Record Keeping of Data related to Undertaking of Digital Asset Businesses, dated 11 July 2018: https://publish.sec.or.th/nrs/8799s.pdf.
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
Audit Firm’s record - Normal
depreciation of 142.64 Million Baht, record on impairment of asset of 28.28 Million Baht and decline in amortizing of intangible assets of 49.16 Million Baht and record of impairment of 154.47 Million Baht
236.62 Million Baht decreased or 13.82 percent when compared to same period of previous year of 1,688.47 Million Baht thus subsidiaries has revenue from selling wire and decline in services somehow
Applicant’s personal record and audit firm’s record – fast track