includes inspection of audit firms’ quality control systems, which has been running since 2010. According to the Activities Report 2021, audit firms in the capital market have continued to improve their
market participants? understanding and preparation for adoption of FinTech to the capital market ecosystem as it is becoming a major tool for innovating financial products and services, and to update
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
The webinar aimed to equip professionals in the Thai capital market with a fundamental understanding of ESG factors and the knowledge of how to provide ESG-related services to their clients, as well
; (2) Determining the approval application fee for an appraisal company to be 50,000 baht and for a lead appraiser to be 10,000 baht per 5 years, instead of per 2 years at present, resulting in
investigation, Sakkarin was found to have acted in the following manners: (1) Soliciting a client to buy shares on the NP/SP List for the purpose of averaging out the cost of shares in the client's portfolio
or facilitation for Mr. Chiyachantana in committing the offense. The case was related to the selling and buying transaction of land and building where WORLD entered into a contract, paying 30 million
has therefore provided a channel for audit firms in the capital market to voluntarily disclose their latest firm inspection report on the SEC website. This will allow listed companies and audit
Capital Market Business . Clause 5 In case an independent director dies, resigns or vacates from the position, an intermediary shall proceed to have a new one for the replacement within 90 days as from the