Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its clien...
, increasingly emphasize the importance of audit quality factor in the selection of auditors. Qualitative information in the firm inspection report is thus very useful for the selection process. In addition, the
Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000
In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for supporting amendment of the Securities and Exchange Act B.E. 2535 (Securities and Exchange Act) to allow more effective and efficient supervision of audit firms and auditors in Thai capital market.SEC Secretary-General Ruenvadee Suwanmongkol said: “This is the first time SEC contracts an independ...
ประเภทหลักทรัพย์ : ทรัสต์เพื่อการลงทุนในอสังหาริมทรัพย์ (REIT) | วันที่มีผลใช้บังคับ : 08/12/2557 | วันที่ปิดการขาย : 00/00/0000
Vintage Engineering Public Company Limited Vintage Engineering Public Company Limited, a securities issuer, prepared and submitted the inaccurate financial statements for the year 2012 ended December
Vintage Engineering Public Company Limited Vintage Engineering Public Company Limited, a securities issuer, prepared and submitted the inaccurate financial statements for Q1/ 2013 ended March, 2013
Vintage Engineering Public Company Limited Vintage Engineering Public Company Limited, a securities issuer, prepared and submitted the inaccurate financial statements for Q2/ 2013 ended June, 2013
Vintage Engineering Public Company Limited Vintage Engineering Public Company Limited (VTE), a securities issuer, failed to submit the financial statements for the year 2013 to the SEC Office and the
Vintage Engineering Public Company Limited Vintage Engineering Public Company Limited (VTE), a securities issuer, failed to submit the annual registration statement for the year 2013 (Form 56-1, 2013