personnel for two years, starting from 14 September 2016. During the suspension period, {A} is not allowed to work in the managerial or advisory areas in the company, nor could he perform any other duties as
, for the benefit of his own or others, also transferred the client?s deposits placed with the company to the accounts of other clients that he was allowed to use. Chalerm?s actions were deemed dishonesty
) Giving the unqualified auditors** a one-year period to rectify the minimum-partners qualifications and during the rectification period the auditors are allowed to provide only audit services that have
with the transitional provisions, are allowed to operate their digital asset businesses.Five of them are seeking licenses to operate as digital asset exchanges:(1) Bitcoin Co., Ltd. (BX / website
, 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
In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for supporting amendment of the Securities and Exchange Act B.E. 2535 (Securities and Exchange Act) to allow more effective and efficient supervision of audit firms and auditors in Thai capital market.SEC Secretary-General Ruenvadee Suwanmongkol said: “This is the first time SEC contracts an independ...
ประเภทหลักทรัพย์ : ทรัสต์เพื่อการลงทุนในอสังหาริมทรัพย์ (REIT) | วันที่มีผลใช้บังคับ : 08/12/2557 | วันที่ปิดการขาย : 00/00/0000
efficiency of business operations. The consultation paper is available until April 4, 2013.Business operators, securities and derivatives businesses, will be allowed to outsource activities directly