oversight in Thailand, priority is given to supervision of individual auditors, but the competent agency is not given the power to directly supervise the audit firms._________________________
Mr. Pornchai Chunhachinda holds a Bachelor’s Degree in Accounting (Honor) from Chulalongkorn University, an M.B.A. from Thammasat University, a Master of Science and a Ph.D. in Finance from
Bangkok, November 19, 2014 - The SEC organized ?5th SEC Working Papers Forum?, presented two research papers addressing ?Behavioral Finance and Regulations Who won and Who lost?? The studies found
Retik Finance : Unlicensed digital asset business (Disclosure Date : 18/12/2023)
Oxchange Finance : Unlicensed digital asset business (Disclosure Date : 23/09/2024)
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
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...
ONE ASSET MANAGEMENT LIMITED|Sector Fund | Offering Date : 16/02/2017 - 24/02/2017