Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
This webinar is part of the continuing cooperation among the SEC, the UN and the PRI in supporting the Thai capital market’s role in driving progress towards the UN Sustainable Development Goals (SDGs). It also brought to the fore investment management business operators, institutional investors and other capital market participants for an in-depth discussion on the Principles for Responsible Investment, particularly on the practices of integrating ESG factors in the investment process. At...
Bangkok, March 18, 2015 ? The SEC revoked the approval of a financial advisor supervisor, namely {A} of KPMG Phoomchai Business Advisory Ltd., for willfully imparting false statement and concealing
Bangkok, July 4, 2016 - The SEC has suspended the approval of {X1} Securities (Thailand) Co., Ltd. as financial advisor and the approval of {A} as the company's supervisor of financial advisory
businesses; (3) allow auditors working as an engagement partner of commercial banks to file an application for approval with the SEC Office, disregarding the requirement that such auditors have to perform
in line with the current average period wherein an auditor is entrusted to be the engagement partner or the auditor affixing signature to express an opinion to financial statements on behalf of the
oversight of alternative investment fund managers who have operated cross-border businesses in partner countries. Currently, two funds have been established and offered by Thai fund management companies
ดังนี้ (1) Dr. Ernest Kan, Chief Advisor of Capital Markets China, Singapore Exchange (2) Krishnamra Wilasinee, Partner, Deloitte Thailand และมี Tay Hwee Ling, Disruptive Events Advisory Leader
The Securities and Exchange Commission (SEC), in collaboration with nine partner organizations from the public and private sectors, co-organized the "Winner Announcement & Showcase" as part of the
and fund supervisor as well as investment requirements. The offering of ASEAN CIS will be made through securities companies in Thailand and in compliance with disclosure rules comparable to the