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Sustainability-Linked Bond Framework INTERNAL - 0 1 CHANEL1 is a private company and a world leader in creating, developing, manufacturing and distributing luxury products. Founded by Gabrielle

https://www.sec.or.th/TH/Documents/LawsandRegulations/ResourceCenter/SustainabilityLinkedBond/Resour...

SEC suspends securities firm executive for failing to supervise compliance

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...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6452

SEC encourages audit firms in the capital market to disclose firm inspection reports on SEC website

, 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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9346

Result of IPO Sale Reports - FIRM : FRASERS PROPERTY INDUSTRIAL REIT MANAGEMENT (THAILAND) COMPANY LIMITED

Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000

http://capital.sec.or.th/webapp/corp_fin2/cgi-bin/r81_1.php?lang=e&ref_id=74&content_id=1

SEC reveals progress on study on audit firm-auditor supervision laws in foreign country to hasten Thai oversight system

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...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8525

Mutual Fund Prospectus - SCBOLF : SCB OIL LINKED OPEN END FUND

SCB ASSET MANAGEMENT COMPANY LIMITED|Foreign Investment Fund : FIF,Specific Fund | Offering Date : 01/08/2008 - 07/08/2008

http://market.sec.or.th/public/mrap/MRAPView.aspx?FTYPE=M&PID=0456&PYR=2551

Mutual Fund Prospectus - GAME : ING Thai GAME Enhanced Linked Fund

UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Foreign Investment Fund : FIF,Structured Note Fund,Specific Fund | Offering Date : 25/03/2008 - 31/03/2008

http://market.sec.or.th/public/mrap/MRAPView.aspx?FTYPE=M&PID=0180&PYR=2551

Mutual Fund Prospectus - TMBCRSET50 : TMB Complex Return SET50-Linked Fund

TMB ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 14/10/2013 - 22/10/2013

http://market.sec.or.th/public/mrap/MRAPView.aspx?FTYPE=M&PID=0232&PYR=2556

Mutual Fund Prospectus - KTEL1Y6M : KTAM Equity Linked Complex Return 1Y6M

KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Specific Fund | Offering Date : 15/03/2012 - 21/03/2012

http://market.sec.or.th/public/mrap/MRAPView.aspx?FTYPE=M&PID=0136&PYR=2555

Mutual Fund Prospectus - TGLINK : TISCO Gold Linked Complex Return Fund

TISCO ASSET MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 10/04/2012 - 04/05/2012

http://market.sec.or.th/public/mrap/MRAPView.aspx?FTYPE=M&PID=0142&PYR=2555