Mr. Anek Yooyuen, Deputy Secretary-General and Spokesperson of the Securities and Exchange Commission (SEC), led a monthly media briefing to provide updates on the SEC significant operational
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...
SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in order that the operation system will be more appropriate and flexible and in line with various types of business models. The operation system will also reduce burdens and obstacles in the business operations, with a view to grouping the relevant regulations of the operation system and the provisi...
case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are
objectives of ensuring accurate and adequate information for effective and timely monitoring and supervision of operational risk of DA operators, and enhancing trust and confidence of stakeholders. Most
website has become a comprehensive source of important information relevant to listed companies such as financial conditions and operational results, reports on changes in securities holding (Form 59-2
/2010 operational results with 37.65 million baht of net loss, representing 84.74 million baht or 179.95 percent decrease from to 47.09 million baht of net profit in Q1/2009. When comparing to 22.12
Bangkok, December 19, 2012 ? The SEC has encouraged listed firms to join e-Tax Invoice system to help reduce operational costs as well as the chances of fraud and corruption. The electronic system is
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)