In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for
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 Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its clien...
, 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
Bangkok, April 24, 2015 ? The SEC presented research papers of Kasetsart University at the 3rd SEC Working Papers Forum, 2015 on ?Behaviors of noise trader in the Stock Exchange of Thailand?Chalee
. Research reports produced by professional investment analysts are a source of important information that investors can use to make well-informed investment decisions for long-term financial goals.However
Bangkok, March 3, 2015 ? The SEC organized ?1st SEC Working Papers Forum, 2015? where the Faculty of Commerce and Accountancy, Chulalongkorn University presented research papers on ?Impacts of
presented research paper on ?Saving for Retirement?. The researchers pointed out that saving and investment in risky assets at a young age is the key success factor of sufficient retirement savings while
Bangkok, August 25, 2014 - The SEC organized ?2nd SEC Working Papers Forum?, jointly with the Faculty of Commerce and Accountancy, Thammasat University presented research paper on ?How stocks react
SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in
Thai Capital Market and Economic Growth.” In addition, the research team from Thammasat University led by Prof. Witawat Rungruangphon and Mr. Weerapong Kitiwong, PhD., presented the results of the Value