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...
Bangkok, September 8, 2014 ? The SEC jointly with alliances and partners from the ?Financial Literacy: Road to Thailand?s Prosperity? Project organized an event on ?Preparing for Happy Retirement
KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 03/10/2017 - 10/10/2017
KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED|Super Savings Fund : SSF | Offering Date : 18/07/2017 - 25/07/2017
KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED| | Offering Date : 03/08/2020 - 21/08/2020
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Super Savings Fund : SSF | Offering Date : 03/08/2020 - 07/08/2020
, 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