Discipline). Sira Intarakumthornchai, PricewaterhouseCoopers ABAS Ltd. (PwC Thailand) Chief Executive Officer revealed that ?Good audit committees require extensive knowledge and experiences on their roles as
Based on information provided by a whistleblower and the SEC’s further investigation, it has been revealed that Morakot has displayed behaviors indicative of conducting securities business in the
be enforced. The SEC Office present the case to the Civil Sanction Committee (“CSC”). CSC determines which civil penalties shall be imposed. Does he pay monetary sanctions determined by CSC/ Court
areas. The latest inspection on 29 audit firms in the capital market revealed that 86 percent of the inspected audit firms received either “acceptable” or “very satisfactory” rating for their quality
of the 30 new auditors was approved and became new registered auditor. The inspections revealed six major issues: Revenue recognition Planning and risk assessment 0% 5% 10% 15% 20% Completion Inventory
underwriting of investment units (LBDU), the SEC's further investigation has revealed that during the period from August 2008 to December 2015, six of the bank's investment consultants deceitfully took clients
-General Tipsuda Thavaramara revealed that SEC has launched an automated data distribution system, or SEC API, to enable easy access to SEC’s information or third party information in possession of SEC and
revealed seven businesses who are permitted to continue their digital asset business operations, in line with the transitional provisions, during the consideration process by SEC until their applications are
. Vorapol Socatiyanurak, SEC Secretary-General revealed after the last quarterly meeting of 2014 with the Association of Investment Management Companies (AIMC) that ?the SEC facilitates conductive environment
statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of