Bangkok, August 26, 2014 ?The SEC is seeking public comment on proposed common offering rules for new financial products not falling within a scope of any existing rules. Introducing the common rules

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

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...

ประเภทหลักทรัพย์ : ทรัสต์เพื่อการลงทุนในอสังหาริมทรัพย์ (REIT) | วันที่มีผลใช้บังคับ : 08/12/2557 | วันที่ปิดการขาย : 00/00/0000

and Singapore, and the revised Memorandum of Understanding on the Streamlined Review Framework for ASEAN Common Prospectus to cover issuances of plain debt securities under a debt issuance

December 2012, the SEC held seminars for audit firm leaders and registered auditors about common deficiencies found in quality reviews. In December 2012, the SEC also held a panel discussion to discuss

part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is

points/concerns have been followed up. B9 Where the firm operates as part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent, and results