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
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...
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
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
investors.The persons performing the duty must monitor and oversee undertakings that may cause a conflict of interests to the unitholders, including undertakings that may be characterized as unfairness to the
. 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
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
market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from