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
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 supporting amendment of the Securities and Exchange Act B.E. 2535 (Securities and Exchange Act) to allow more effective and efficient supervision of audit firms and auditors in Thai capital market.SEC Secretary-General Ruenvadee Suwanmongkol said: “This is the first time SEC contracts an independ...
baht of public savings, we are obliged to perform professional investor?s role in monitoring investee businesses for the utmost benefit of listed companies and steady return for public savings in the
towards Stable Goals” at SEC booth at the “SET in the City 2019” event which will kick off from 14 – 17 November 2019 at the Paragon Hall, Siam Paragon shopping center.____________________
highly stable government entity. In addition, the Eastern Economic Corridor Promotion Policy could potentially drive the demand on tap water in the project area. Thus, this investment also creates a
capital market business for sustainable, stable and efficient growth, enhancing the cooperation with organizations and entities involved with the capital market business, and performing other activities
assets businesses. For providers who service trading digital assets with Thai baht pegged stable coin are not regarded as operating digital asset brokers and dealers under this royal decree.SEC Deputy
Bangkok, June 16, 2015 ? ASEAN audit regulators and audit firms in the ASEAN region have just concluded a meeting that discussed initiatives to raise audit quality and market transparency in the
Bangkok, June 16, 2015 ? ASEAN audit regulators and audit firms in the ASEAN region have just concluded a meeting that discussed initiatives to raise audit quality and market transparency in the