Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and the management team convened a meeting with Mr. Chanin Vongkusolkit, TLCA Chairman, and the board members to discuss collaboration in developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from investors and have their securities listed on the Stock Exchange of Thailand (SET), while growing su...
Bangkok, 27 July 2017 ? The SEC has refused to grant Energy Earth Public Company Limited (EARTH) an extended deadline for submitting the special audit report which was due on 24 July 2017, and urged the company to expedite the submission to the SEC and the disclosure through the SET Electronic Information System. Meanwhile, EARTH executives are subject to investigation regarding their duty performance. Earlier, the SEC had instructed EARTH to arrange a special audit on the advanced payments for...
The SEC monitors and observes events and exhibitions featuring booth setups related to investment advice and service solicitation. Recently, the SEC has been alerted by the public and relevant stakeholders regarding suspicious activities involving unlicensed securities companies, derivatives business operators, and digital asset business operators, including such business operators from abroad. These entities allegedly solicited the public to invest or use their services at their booths during a...
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? clients and counterparties as well
keep them abreast of current attack patterns and techniques, as well as to outline strategies for mitigating cyber threats, and learn methods for collecting and securing evidence related to attacks
-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well as the capital market system.The consultation paper is available on
companies of relevant guidelines to be implemented in the same direction. For example, guidelines for mitigating the risks of COVID-19 spread when AGM is held and guidelines for supporting proxy voting. In
Bangkok, 25 May 2017 ? The SEC and the Business Software Alliance (BSA) will jointly organize a seminar on ?Boards? Roles in Mitigating Cyber Security Risks/Threats: Challenges and Solutions? this
deemed beneficial to the adjudication process, the Court considered it a mitigating factor. Accordingly, the sentence was reduced by half under Section 78 of the Criminal Code. The final sentence is a fine