Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
account of performing duties dishonestly, misappropriating client assets, and producing false evidence.According to a referral from KASIKORNBANK Public Company Limited (KBANK) and the SEC's further
the form of outsourcing or partnership. In this regard, the partnership-based business operation guidelines must be improved from the SEC circular in this matter. SEC has therefore proposed issuance of
establishing a clear timeframe for improved progress of the cooperation program. In this regard , The Management of SEC Thailand also expressed the good will to pay the courtesy visit to His Excellency Mr. Sou
information service was popular among its users.However, SEC has continuously improved and developed the data to provide services to the public by providing a variety of information such as fund raising
officials or make an appointment for consultation service at SEC office without any charge.”Simultaneously, SEC has also improved its internal work process in receiving information, clues and complaints
The SEC has improved the procedure for handling complaints from investors and the general public to ensure better service quality. The new procedure includes three phases of clearer status updates to
audit firms, with their tremendous effort, have improved their audit quality assurance system in line with quality control standards and thus uplift quality of audit work and financial reports throughout
small units such as individual houses or condominium units.4. Asset appraisal must be made by an asset appraiser determined by SEC.In addition, SEC has improved the flexibility for a smart contract
for a period of four months and 40 days, respectively.In the case of {A}, who was a securities investment consultant and a branch manager at KASIKORNBANK Public Company Limited (KBANK) while committing