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
On 14 August 2019, the SEC and 12 organizations in the capital market officially co-launched the Capital Market Governance Promotion Initiative in Celebration of HM the King’s Coronation with 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...
Vajiralongkorn Phra Vajiraklaochaoyuhua (Rama X)’s kindness towards the Thai people and a celebration of the auspicious occasion of HM the King’s Coronation. The SEC and the 12 allies are leading the Initiative
Vajiralongkorn Phra Vajiraklaochaoyuhua (Rama X)’s kindness towards the Thai people and a celebration of the auspicious occasion of HM the King’s Coronation. The SEC and the 12 allies are leading the Initiative
Maha Vajiralongkorn Phra Vajiraklaochaoyuhua (Rama X)’s kindness towards the Thai people and a celebration of the auspicious occasion of HM the King’s Coronation. The SEC and the 12 allies are leading
Vajiralongkorn Phra Vajiraklaochaoyuhua (Rama X)’s kindness towards the Thai people and a celebration of the auspicious occasion of HM the King’s Coronation. The SEC and the 12 allies are leading the Initiative
and seven other allies under the Capital Market Governance Promotion Initiative in Celebration of His Majesty the King’s Coronation. The TRBN launch will be held on 2 December 2019 and presided over by
further green actions among other organizations.”Vibhavadi Zero Waste Campaign is created under the Market Governance Promotion Initiative in Celebration of the Auspicious Occasion of His Majesty the