market that have a minimum of four auditors in the capital market. The requirement would take effect immediately for auditors affiliated with audit firms outside the capital market* who submit the
auditor appointed by an audit firm is unable to perform audit work for a listed company and the audit firm has an insufficient number of auditors in the capital market to handle the situation, the listed
for rectifying the qualifications to be affiliated with an audit firm that meets the requirement of four auditors at a minimum, from 180 days to one year. The consultation paper is available at
KASIKORN ASSET MANAGEMENT COMPANY LIMITED|Long Term Equity Fund : LTF | Offering Date : 15/11/2016 - 21/11/2016
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Feeder Fund | Offering Date : 25/03/2022 - 01/04/2022
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 Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its clien...
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...
derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid
EASTSPRING ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Long Term Equity Fund : LTF | Offering Date : 14/11/2016 - 18/11/2016
KIATNAKIN PHATRA ASSET MANAGEMENT COMPANY LIMITED|Long Term Equity Fund : LTF | Offering Date : 15/11/2016 - 22/11/2016