firms and the audit work quality of listed companies.Senior Assistant Secretary-General Prakid Punyashthiti said: ?The overall results of the second-cycle inspection show continued improvement in the work
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent
SEC considers revising the regulations on the offering for sale of investment in shares held by listed companies or their subsidiaries in order that the shareholding can be conveniently
opinion on the improvement of the regulations in order that the revised regulations will be appropriate for actual use. In addition, SEC will coordinate with business operators to expand the investor
statements from the origin, in order to enhance the quality of financial reporting. The study was conducted by the Research Institute for Policy Evaluation and Design, University of the Thai Chamber of
The Revenue Department has prepared a draft bill amending the Revenue Code relating to the improvement of income tax payment from investors investing in debt securities through mutual funds. The
time. Third, Country Top 3 PLCs Award is given to companies with the top 3 highest scores in each country. For Thailand, the top 3 highest performers in SET-symbol alphabetical order are Bangchak