ASSET PLUS FUND MANAGEMENT COMPANY LIMITED|Foreign Investment Fund : FIF | Offering Date : 18/06/2010 - 24/06/2010
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...
Facebook page "Golden Step Forward" : Unlicensed securities and derivatives business (Disclosure Date : 25/03/2026)
บริษัท หลักทรัพย์จัดการกองทุนแอสเซท พลัส จำกัด|กองทุนรวมที่ลงทุนในต่างประเทศ | วันที่เสนอขาย : 18/06/2553 - 24/06/2553
Bangkok, December 24, 2013 ? SEC Secretary-General Vorapol Socatiyanurak revealed after quarterly meeting with the Association of Thai Securities Companies (ASCO) and the Association of Investment Management Companies (AIMC) that ?The SEC urges the associations? members to make a declaration of intent against corruption by joining the Collective Action Coalition Against Corruption Council (CAC). The CAC, supported by the government and the Office of National Anti-Corruption Commission, aims at p...
Bangkok, July 20, 2015 ? The SEC takes further actions under the securities and exchange law after the Department of Business Development (DBD) clearly indicated that disallowing shareholders to attend and exercise voting rights at AGM was non-compliance with the law on public limited company.Earlier, the SEC received complaints stating that Chairman of the Board of Nation Multimedia Group Public Limited Company (NMG) did not allow some groups of shareholders to attend the 2015 shareholders? Ann...
Bangkok, February25, 2015 ? The SEC jointly with the Thai Bond Market Association (ThaiBMA) launched ?One Step Beyond with Bond Issue? project to enhance competitiveness of the businesses never once
, 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...