Bangkok, August 22, 2006 ? The Settlement Committee appointed by the Minister of Finance under Section 317 of the Securities and Exchange Act B.E. 2535 (1992) has imposed serious penalty fines on six securities companies on account of failing to submit evidence of securities trading orders in the form of recorded tapes of phone conversations with their clients. Pursuant to the SEC Notification prescribing the conditions and procedures for securities companies in operating securities brokerag...
reported inclusively with the figures of local institutional investors?, the information could be misleading that such securities firms had a large number of institutional clients. Separate reporting of
those firms for further planning. # # #
Bangkok, December 19, 2012 ? The SEC has encouraged listed firms to join e-Tax Invoice system to help reduce operational costs as well as the chances of fraud and corruption. The electronic system is
members (consisting of executives and representatives from 38 securities firms) held discussions and shared views regarding operations that may affect trust and confidence in the Thai capital market such as
Bangkok, December 3, 2009 ? The SEC is inviting the public to comment on the draft rules prescribing inappropriate characteristics of directors or management of securities issuers and listed companies whose shares are held by the public.The main objectives of the proposed rules are (1) taking action against existing executives who act improperly, and (2) preventing inappropriate acts of seeking benefits or taking advantage of shareholders of listed companies, which could harm public confidence...
gender-reporting practices across corporations,” he said. Giuseppe Busini, Chargé d'Affaires a.i. of the EU Delegation to Thailand, said he hopes the Awards and growing participation of local firms
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC gives priority to the audit quality control system of audit firms in the capital market, and regularly inspects and issues inspection