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...
The Securities and Exchange Commission (SEC), led by Secretary-General Pornanong Budsaratragoon and executives, made a charitable donation of 600,000 Baht to support Friends in Need (of "PA
, 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
ชื่อผู้ได้มา/จำหน่าย :?SOUTH CHINA (JERSEY) HOLDINGS THE LEES CHARITABLE FOUNDATION | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 22/02/2560
ชื่อผู้ได้มา/จำหน่าย :?THE LEES CHARITABLE FOUNDATION LIMITED | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 02/03/2553
event, the SEC made a charitable donation to the "Pranangklao Hospital Foundation" to help underprivileged patients and promote medical research, at the NACC Office on 17 November 2023.
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management