of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its client activity oversight was insufficient to effectively verify the identity of clients or their

, as Chalerm?s misconduct occurred while he was a branch manager of securities company, the above sanction caused him to have prohibited characteristics of personnel and executives in securities and

collateral from derivatives account and transferred it to the ATS account to be in line with the fraudulent transactions. In addition, he transferred the client?s deposits for the company to other clients

, 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

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

The SEC has endorsed the concept of requiring audit firms to maintain an appropriate number of auditors in the capital market to enhance their overall strength and ensure sufficient staff to provide

ประเภทหลักทรัพย์ : ทรัสต์เพื่อการลงทุนในอสังหาริมทรัพย์ (REIT) | วันที่มีผลใช้บังคับ : 08/12/2557 | วันที่ปิดการขาย : 00/00/0000

16/03/2018 ENERGY EARTH PUBLIC COMPANY LIMITED SEC instructs EARTH to clarify the existence and the fair value of mining property rights 31/01/2018 SLM CORPORATION PUBLIC COMPANY LIMITED SEC urges CHUO

Executive Officer of Amata Corporation Public Company Limited. Another executive panel on "Opportunities for Thailand in Greater Mekong Region? will include very well known panelists namely Tos Chirathivat