Facebook Page ชื่อ Long-lasting value appreciation in funds : Unlicensed securities and derivatives business (Disclosure Date : 03/07/2024)
Chanchaisilp for operating unlicensed derivatives business.Sakkarin Ruamrang, SEC Assistant Secretary-General, said that ?The SEC?s probe revealed that G.O.L. (Thailand) held itself out as gold futures trading
management to general public. Their activities involved advertisement, general solicitation and distribution through website www.sdc.us.com.The SEC?s probe revealed that Seandar Inc. and Matthew operated
Based on information provided by a whistleblower and the SEC’s further investigation, it has been revealed that Morakot has displayed behaviors indicative of conducting securities business in the
? If so, meeting with junior staff might produce more lasting results if that person can help build buy-in internally. 10. Have you held the company for a number of years, and do you plan to continue
effectiveness of those relevant controls. However, the inspections revealed aspects for which improvements are needed, including: insufficient tests of controls and documentation; revisions of the nature, timing
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...
major categories, the assessment revealed that the SEC already has effective measures to clamp down corruption. - A new initiative called “SEC: A Corruption-free Organization” was approved by the SEC
Annual Report 2003 A N N U A L R E P O R T 2 0 0 3 S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N & O F F IC E O F T H E S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N , T H A IL A N D SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2003 SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND 10th and 13th-16th Fl. Diethelm Towers B, 93/1 Wireless Road, Lump...
shareholders or top executives. It also revealed instances where some companies took advantage of unclear interpretation of accounting principles to dress up their financial statements. We cooperated with the