SEC has regulated regarding the method of Know Your Client (“KYC”) for securities and derivatives business operators through the use of principle-based regulations due to the fact that business operators have different in sizes, target audience, and number of clients. Therefore, it depends on the business operators to find the most appropriate method to perform e-KYC as long as they follow the objectives and principles as notified.Now, SEC is seeking public comments on the guideline of ad...
Mr. Chusak Ruentip Mr. Chusak Ruentip failed to comply with the competent officer's order to testify. The public prosecutor issued a prosecution order against the accused; however, attempt to
Mr. Todsapon Buachaiyo Mr. Todsapon Buachaiyo failed to comply with the competent officer's order. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic
Yarnapund Public Company Limited Yarnapund Public Company Limited failed to prepare and submit the reviewed financial statements for Q2/2013 to the SEC and the SET within the specified period. The
Thai Unique Coil Center Public Company Limited Thai Unique Coil Center Public Company Limited, failed to prepare and submit the reviewed financial statements for Q3/2015 to the SEC and the SET within
Thai Unique Coil Center Public Company Limited Thai Unique Coil Center Public Company Limited, failed to prepare and submit the audited financial statements for the year 2013 ended December 31, 2013
(“UOBAM”) failed to order or act duty resulting in UOBAM failed to communicate with clear and reliable information, and without misleading information. SEC Act S.283 paragraph 1 Settlement Committee
Yarnapund Public Company Limited Yarnapund Public Company Limited failed to prepare and submit the reviewed financial statements for Q3/2014 to the SEC and the SET within the specified period. The
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and