DAOL INVESTMENT MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 02/04/2021 - 08/04/2021
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 Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its clien...
at developing the Thai digital asset market. This includes coordinating with relevant authorities on tax matters and amending legislations related to digital assets and oversight regulations in the
, increasingly emphasize the importance of audit quality factor in the selection of auditors. Qualitative information in the firm inspection report is thus very useful for the selection process. In addition, the
Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000
In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for supporting amendment of the Securities and Exchange Act B.E. 2535 (Securities and Exchange Act) to allow more effective and efficient supervision of audit firms and auditors in Thai capital market.SEC Secretary-General Ruenvadee Suwanmongkol said: “This is the first time SEC contracts an independ...
The Securities and Exchange Commission (SEC) has convened a meeting with the Association of Investment Management Companies (AIMC) to discuss policy directions for developing asset management
SEC Secretary-General Pornanong Budsaratragoon, along with the SEC Management Team, held the joint meeting with AIMC President Chavinda Hanratanakool and senior executives from 26 asset management companies on 30 October 2023 at the SEC Building. The meeting’s discussion focused on policy directions to enhance competitiveness in conjunction with the development of asset management businesses towards sustainability goal, and the promotion of long-term savings to support the aging society, an impo...
ประเภทหลักทรัพย์ : ทรัสต์เพื่อการลงทุนในอสังหาริมทรัพย์ (REIT) | วันที่มีผลใช้บังคับ : 08/12/2557 | วันที่ปิดการขาย : 00/00/0000
The meeting was chaired by Sirivipa Supantanet, SEC Deputy Secretary-General, along with distinguished members such as Emeritus Professor Vitit Muntarbhorn, Associate Professor Thongthippa Wiriyaphan, Dr. Netithorn Praditsan, Deputy Secretary of Global Compact Network Thailand (GCNT), and Pimpan Diskul Na Ayudhya, Director of Thailand Responsible Business Network (TRBN). The working group believes that this kind of training course will help the business sector to seamlessly integrate human...