Bangkok, April 8, 2014 ? The SEC requires all licensees of securities and derivatives businesses appoint independent directors at least one-fourth of the board members by January 1, 2016.SEC

have the independent director review the work of the SKFM management from 2016 to 2018; and             (4)  neglecting the supervision of SKFM operation, causing deficiencies in many cases. For

 Bangkok, February 21, 2014 ? The SEC is seeking public comment on revising the regulations concerning independent directors of licensed securities and derivatives business operators. The proposed

Bangkok, October 31, 2013 ? The SEC is seeking public comment on revising the rules to exempt independent directors? requirement of licensed derivatives advisors and authorized financial institutions

Bangkok, April 22, 2014 ? The SEC unveiled the Independent Audit Inspection Activities Report 2013 which reflected advancement of audit oversight in Thailand, underlined transparency in auditor

Bangkok, May 12, 2015 ? The SEC published 2014 Independent Audit Inspection Activities Report covering inspection of 12 audit firms and working papers of 46 approved capital market auditors. The

their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex

coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market

their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his

perform duties or provide services with loyalty by committing wrongdoing against investor assets. Both cases constitute prohibited characteristics for personnel in the capital market business under the