global effort to reduce carbon emissions leading to global warming. SEC has therefore upgraded the Online Fund Approval and Management System (“OFAM”) to accommodate paperless filings.Businesses can
important information and business secrets of the company without approval. He later resigned from the company. SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended
This proposed amendment to the regulations on qualifications of capital market auditors aims to facilitate capable auditors’ entry into the capital market to perform audit work and to streamline supervisory rules that could impose excessive burdens on auditors. This regulatory revision would therefore attract sufficient qualified auditors into the capital market to serve the increasing number of listed companies while maintaining audit quality in line with international standards. The essence of...
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients
violation specified in the Notification of the Capital Market Supervisory Board.* The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned
Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment
on principles to laying out the framework of related rules to allow a business operator to apply for SEC’s approval and represent itself as wealth advisor to interested persons.Rules regarding
and authorized director Mr. Arak Ratborihan on account of offering for sale of newly issued shares for a private placement without obtaining a prior approval from the SEC.According to the SEC's further