Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
, increasingly emphasize the importance of audit quality factor in the selection of auditors. Qualitative information in the firm inspection report is thus very useful for the selection process. In addition, the
, SEC will report the study result to the Department of Business Development, Ministry of Commerce as information supporting, where relevant, the amendment of the Accounting Professions Act B.E. 2547
securities business without license.The SEC received complaints from several foreign residents that they had been solicited to use services and advice of the offenders to make investments and later suffered
Lane and Ratanaporn Aoonta for operating securities business without license.The SEC received a complaint from a foreign investor that he had been solicited by the financial and investment consultants of
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
Pursuant to the Emergency Decree on Digital Asset Businesses of 2018, digital asset business operators are required to obtain a relevant license from the Minister of Finance. Since 2018, three types
therefore urging digital asset business operators to emphasize the importance of cybersecurity on a continuing basis and to assign a responsible entity to oversee the matter to ensure that they can provide
Bangkok, August 16, 2016 ? The SEC is urging the shareholders of Adamas Incorporation Public Company Limited (ADAM) to thoroughly study the proposed share acquisition for business takeover of
the company to continue its business operation until 21 January 2019.Regarding clients? assets under custody, the company is requested to transfer or return the assets according to the clients? order