Bangkok, September 24, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to-date and practical...
Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to-date and practical framework and aim at mitigating undesirable impacts on securities firms?...
offering). The independent financial advisor (IFA) considers that the information disclosure in this case is insufficient, and the company is exposed to the risk of absence of due diligence in the
) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties
convenience to case monitoring and progress updates. In case of unreasonable delay or inadequate services from officers, complainants are welcome to contact SEC Secretary-General directly via email: ruenvadee
, achieving the SDGs requires significant investment, and the current level of investment by the government alone is not enough to meet the ambitious targets. We need to unlock the new source of finance
audit of the financial statements for Q3/2016 on the basis of (1) insufficient evidence on the reasonableness of the management's decision to make transactions for investment in two associate companies
problem of inadequate retirement savings in Thai society. SEC would like the PVD to sustainably grow, which needs the collaboration among sectors, including the PVD members, who are employees in
to the status prior to the date of rehabilitation order. However, JAS has not recognized any liabilities resulted from the Supreme Court decision, viewing that there is insufficient information to
7 billion baht or approximately 20 percent of the total assets. EARTH attributed the problems to insufficient cash flow and review of credit lines of financial institutions. EARTH is currently seeking