The Securities and Exchange Commission (SEC), in collaboration with the Bank of Thailand (BOT), the Office of Insurance Commission (OIC) and the Thai Bankers’ Association, organized the Financial

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...

Miss Areewan Aimdilokwong, Assistant Secretary-General of the Securities and Exchange Commission (SEC), delivered opening remarks at the “Kick Off – AGM Checklist 2026” event organized by the Thai

regulatory oversight in response to future changes. The lectures were delivered as part of the Prep for Fund Manager: Professional Preparation Program for Financial Advisors, Batch 5, organized by KH Academy

The Securities and Exchange Commission (SEC), in collaboration with the Faculty of Law, Chulalongkorn University, organized a workshop on Human Rights Due Diligence (HRDD) under the Business and

, 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

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

, through the SEC’s communication channels and mass media, in the forms of infographics, articles, as well as educational seminars organized in cooperation with related agencies. In carrying out investor