Promotion Operation Review ... 1 The effect of natural disaster on earnings management Supavinee Jevasuwan Kasetsart University SEC Working Papers Forum 19th August 2015 2 Research Question 3
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...
, 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
The Securities and Exchange Commission (SEC), led by Secretary-General Pornanong Budsaratragoon and the Management Team, held a meeting with the Association of Provident Funds (AOP), led by President Vitai Ratanakorn and Director and Secretary Roongkiat Ratanabanchuen. The objective was to discuss strategic approaches for developing and promoting the provident fund (PVD) industry and to support the AOP role in providing relevant knowledge to PVD fund committees and members through training cours...
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...
Amnucksoradej, acting Director of the Division of Industrial Business Capability Development, Department of Industrial Promotion, presided over the seminar. SEC Deputy Secretary-General Sirivipa Supantanet
On 14 August 2019, the SEC and 12 organizations in the capital market officially co-launched the Capital Market Governance Promotion Initiative in Celebration of HM the King’s Coronation with the