act.?As the Executive Chairman of Apple Wealth Securities, {A} was involved in the company's misconduct and failed to perform supervisory duties. He approved the opening of trading accounts and the
clients?complaint about Chalerm?s conducts. It was found that Chalerm had received securities and derivatives trading orders from clients, but there was no evidence that those orders had actually been
complain on the company?s investor contact, Chalerm, the SEC found that Chalerm had received securities and derivatives trading orders from clients, but he had not made any of the transactions. Instead, he
, 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
Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000
In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for supporting amendment of the Securities and Exchange Act B.E. 2535 (Securities and Exchange Act) to allow more effective and efficient supervision of audit firms and auditors in Thai capital market.SEC Secretary-General Ruenvadee Suwanmongkol said: “This is the first time SEC contracts an independ...
Common share | Initial Public Offering | Offering Date - 19/11/2013 - 22/11/2013