Bangkok, October 6, 2015 ? The SEC filed a criminal complaint against Penkae Katekaew and Tan Lethi with the Department of Special Investigation (DSI) for collusively seeking unlawful gain causing
assist small- to medium-sized enterprises (SMEs) to gain greater access into funding sources, and to be in line with overseas crowdfunding regulations. It came into force from 16 March 2020.SEC
will help the participants to gain benefits and have more opportunities to present useful innovations for the country’s financial system and capital markets. SEC will also exchange knowledge and ideas
information, in materiality. In this regard, the SEC also filed a criminal complaint against {A} with Thai Royal Police for imparting false statement to the competent officer.Following the SEC investigation to
Limited Companies Act B.E.2535 (1992) to call an extraordinary general meeting in order to elect new directors. The SEC and other competent authorities have issued guidelines to set out the procedures
. Assigning competent audit staff to each engagement as required by auditing standards and determining performance evaluation criteria to reflect performance quality could help improve the deficiencies; (3
the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know
oversight in Thailand, priority is given to supervision of individual auditors, but the competent agency is not given the power to directly supervise the audit firms._________________________
include going public and becoming a listed firm or PE trust. With PE Trust, businesses will not only have access to fund source for expansion but will also gain management expertise from professionals
institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may