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
, the SEC will file a criminal complaint for further legal proceedings. Due to his misconduct, {A} is deemed to have prohibited characteristics of capital market personnel as specified in the
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
Secretary-General Ruenvadee Suwanmongkol said: “This is the first time SEC contracts an independent expert to study relevant laws on supervision of the audit firms and auditors in Thai capital market in
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
provisions regarding investment in securities by securities business related associations; (4) Corporate finance Regulations and Audit firm and Capital Market Professional Supervision: revising regulations on
auditors in the capital market, and to grant a fee exemption for resubmission of the application for approval of auditor in the capital market for the applicants who affiliated with audit firms outside
ระดับภูมิภาคประจำปี 2565 “SEC Capital Market Regional Seminar 2022” จัดโดย ก.ล.ต. ร่วมกับมหาวิทยาลัยเชียงใหม่ (มช.) เพื่อมุ่งเน้นความร่วมมือด้านวิชาการที่เกี่ยวกับตลาดทุน โดยการสร้างโอกาสและเวทีในการ