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
SEC is opening for public comments on the regulations to supervise private funds as now business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
SEC is opening for public comments on the regulations to supervise private funds as the business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
On 8 November 2023, JKN filed a petition for business rehabilitation with the Central Bankruptcy Court. The Court issued an order accepting the rehabilitation petition on the following day, resulting in the occurrence of an Automatic Stay, and subsequently affecting the payment of interest and the repayment of all outstanding JKN bonds. The Court set the date for the examination of the JKN rehabilitation petition on 29 January 2024. If the Court issues an order for the rehabilitation of JKN and...
the form of outsourcing or partnership. In this regard, the partnership-based business operation guidelines must be improved from the SEC circular in this matter. SEC has therefore proposed issuance of
notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading
Exchange Act B.E. 2535 (1992) with the duty to supervise and develop the Thai capital market to ensure efficiency, fairness, transparency and integrity. One of the SEC?s responsibilities is to monitor and
Exchange Act B.E. 2535 (1992) with the duty to supervise and develop the Thai capital market to ensure efficiency, fairness, transparency and integrity. One of the SEC?s responsibilities is to monitor and
. Initially, it is found that most countries have the laws allowing an agency to oversee the audit firms and to convene a meeting to seek opinions and advice on the amendment of the Securities and Exchange
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC has the duty to supervise and develop the Thai capital market. One of our key responsibilities is to help increase businesses’ access to