control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
public by such securities companies and derivatives broker. In this regard, the SEC Thailand assumes no responsibility for verification, examination or certification of completeness, accuracy and update of
information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit
Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus
lodged by client and examination report of RHB OSK Securities, the SEC further probed into the case and found that {A} traded securities on behalf of a client of {B}. {B} was a {A}'s subordinate and took
aiders namely Mr. Chanchai Piulueangsawat and Mrs. Onpimon Piulueangsawat, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC?s findings from the examination of the
{C}, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC's findings from the examination of the initial public offerings (IPO) of Takuni Group Public Company
in the occurrence of an Automatic Stay, and subsequently affecting the payment of interest and the repayment of all outstanding JKN bonds. The Court set the date for the examination of the JKN
Cybersecurity Law, such as Vulnerability Assessment and Penetration Test, etc.; and (6) Revising the third-party management provisions by extending the scope to include IT service providers or business partners
, exchange traded fund (ETF), property funds, structured notes and other debt securities; (c) Relevant knowledge on accounting, finance and tax such as accounting standards; (d) Knowledge on assessment or