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

processed. Instead, he falsified documents to deceive the clients that their orders had been executed.  He also deceived the clients that the Automated Trading System (ATS) failed to function and thus asked

has therefore provided a channel for audit firms in the capital market to voluntarily disclose their latest firm inspection report on the SEC website. This will allow listed companies and audit

intention to illegitimately seek benefits from client?s assets. Following the complaint filed by the clients of Siam City Securities Co., Ltd., and the company?s auditing report where numerous clients had

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

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

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

for providing auditing service to businesses in the capital market. Such audit firm must employ at least one auditor in the capital market. The name list of the audit firms inspected by the SEC is

legal requirement on minimum face value of debentures may be too high and hinder retail investors to access debt markets, or the prohibition of set-off can cause unnecessary procedures and fees to issuer