Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The

BANGKOK, October 12, 2006 ? The SEC ordered Compass East Industry (Thailand) Plc. (CEI) to cooperate with its auditor in the examination of the company?s inventory, machinery, equipment, moulds and

seeking approval of investment analysts to pass examination on derivatives in addition to holding Certified Financial Planner (CFP) certification. Thai Bond Market Association bond dealer members will be

of the Securities and Exchange Commission No. SorNor. 1/2554 Re: Examination and Disclosure of List of Foreign ETF Units and Application for Investment Allotment for Units of Foreign ETF By virtue of

disclosure of non-financial information, for example, management  discussion and analysis (MD&A), CG statement and CSR report. (2) Enforcement: Points of positive assessment include the determination of listed

, Business Development Director, and Komgrich Luechanya, an accessory. The complaints were the results of the examination of POWER?s financial statements for the year 2004, which revealed reliable

Suvarnabhumi Airport. The SEC has also forwarded the matter to the Office of the Auditor General for further examination as well as to the Ministry of Finance and the Ministry of Transport for consideration

number of customers and the investment amount of each client.   Following the public hearing on the regulatory sandbox amendment conducted earlier this year, which received favorable responses from most

Bangkok, August 20, 2012 ? The SEC revealed that examination on quality assurance of audit firms showed satisfactory result after the issuance of regulation requiring all auditors of companies in the

for one year details of the allocation to all persons that having value of at least one million bath or over in order for the SEC?s examination. In addition, list of all patrons (classified by types