The SEC announces result of its investigation in trading of SCIB-C1 (derivative warrants of Siam City Bank PLC?s shares (SCIB)) which concluded that no price manipulation was found. Details are as
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...
also required to file with the SEC and publicly disclose the rectified and audited/reviewed financial statements by July 6, 2014.The SEC found that the auditors expressed qualified opinions on VTE?s 2013
Re: Particulars of Notice Calling Shareholders’ Meeting of Listed Companies to Obtain Approval for Issuance and Offer of Securities for Sale
to the SEC and publicly disclose the rectified and audited/reviewed financial statements urgently. The SEC found that the auditor gave qualified opinions on EIC’s 2014 and Q1/2015 financial statements
the auditor by March 8, 2013. Earlier, the SEC found that the company’s management prevented the auditor to obtain sufficient information and audit evidence necessary for reviewing the financial
submit to the SEC and to publicly disclose the rectified financial statements that are reviewed by the auditor by March 8, 2013.Earlier, the SEC found that the company?s management prevented the auditor to
2015 and 2016 were restated because fictitious revenue had been recorded. The SEC reviewed Patamavan’s engagement performance as NMG’s auditor and found that she failed to obtain reliable evidence that
servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter