Bangkok, September 24, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to-date and practical...
Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to-date and practical framework and aim at mitigating undesirable impacts on securities firms?...
the society in some ways. This is also a great opportunity for our SEC family to share happiness with our fellow Thais. “SEC Staff is very pleased to be a part of social sharing through the Pantry
convenience to case monitoring and progress updates. In case of unreasonable delay or inadequate services from officers, complainants are welcome to contact SEC Secretary-General directly via email: ruenvadee
) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมออกบูธในงาน Digital Governance Thailand 2023 (DGT 2023) ภายใต้แนวคิด “Happiness Creation #ชีวิตดีเมื่อมีดิจิทัล” ซึ่งสำนักงานพัฒนา
problem of inadequate retirement savings in Thai society. SEC would like the PVD to sustainably grow, which needs the collaboration among sectors, including the PVD members, who are employees in
related parties, for example, higher value of shares for shareholders, happiness and proud in joining the CSR-oriented organization. In the meantime, business gains recognition from the public, resulting in
resulting in the low audit quality; and High ratio of listed audit clients to audit personnel, leading to incomplete audit works, inadequate supervision, non-compliance with the firms’ policies and procedures
the company to rectify its financial condition to comply with the net fund maintenance rules as well as solve the issue of its improper and inadequate management and personnel structures and the case