auditor appointed by an audit firm is unable to perform audit work for a listed company and the audit firm has an insufficient number of auditors in the capital market to handle the situation, the listed

Bangkok, March 18, 2015 ? The SEC revoked the approval of a financial advisor supervisor, namely {A} of KPMG Phoomchai Business Advisory Ltd., for willfully imparting false statement and concealing

นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้าร่วมงานสัมมนา “Women in Business: Why Thailand is a success story in women leadership” และกล่าว

SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in

On 17 May 2022, the Capital Market Supervisory Board Meeting No. 4/2565 passed a resolution approving in principle the proposed amendments to the regulations on approval for issuance and offering for

into force in December 2015, essentially any group of inflicted persons may file a civil class lawsuit under jurisdiction of the court and according to the nature and types of the legal case.?The law

running the multiple regression analysis. A sample group was collected from share prices of companies listed on the Stock Exchange of Thailand during 2004 ?2013 where the finding showed out that the stock

SEC investigated further and found that Mr. Konoshita ordered Group Lease Holding Co., Ltd. (GLH), a subsidiary of GL based in Singapore, to issue loans to several foreign companies.Evidence showed that

for learning courses on securities and derivatives investment and also used a Line group as a channel for recommending which securities and derivatives to invest. He received a payment in return from

Based on a third-party report and the SEC’s further investigation, it has been found that in 2017 Mr. Chiyachantana (Chairman and Chief Executive Officer of WORLD at the time of the offense