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...
Bangkok, June 23, 2011 - The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from performing duty as an executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated that his misconducts on clients? assets involved dishonesty, deceit or embezzlement and wrongful use of client?s assets. Following the complaint lodge...
build digital transformation towards digital exchange, for the ability to efficiently provide services to members, issuers, and investors .”ASCO Director Mr. Pichet Sithi-Amnuai said “transactions of
build immunity together, as well as experience the newest consulting service model under the idea of “Check Your Immunity and Build Confidence.” At the booth, the participants can try their hands at the
Bangkok, 19 September 2018 ? The SEC teamed up with the Stock Exchange of Thailand and the Securities Investors Association (Singapore) to organize an international seminar on ?Building Trust in a Transforming Economy,? attracting world-famous speakers to share their experience on corporate culture development for sustainable business as a means to handle new challenge and take care of shareholders and related stakeholders in all aspects.The SEC, the Stock Exchange of Thailand and the Securities...
the SEC's key focus laid out in the plan. SEC Secretary-General Rapee Sucharitakul said: ?Our blueprint for the next three years aims to solve fundamental issues and build intermediaries
Bangkok, January 14, 2016 ? SEC Secretary-General Rapee Sucharitakul today announced the SEC Strategic Plan 2016-2018 to stakeholders from all sectors, placing a special focus on well-balanced and fundamental development of ecosystem in the Thai capital market to enhance trustworthiness as well as efficiency and competitiveness of intermediaries and the overall market. The three-year strategic plan gives more weight to practical rules and regulations developed from effective communication and un...
Digital Asset Businesses B.E. 2561 (2018) was also held on the second day of the workshop, with the objective to provide knowledge and understanding, as well as build a network of procedures regarding the
, 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
Bangkok, June 23, 2011- The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from acting as an executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated his fraud commission, embezzlement, falsying documents with the intention to illegitimately seek benefits from client?s assets. Following the complaint filed by...