SEC Deputy Secretary-General Sirivipa Supantanet stated that “this is the first study of audit adjustments in Thailand.  This study presents errors in accounting transactions found by auditors which must be corrected, and the root cause analysis for such errors.  The study also proposes recommendations on important factors which play an important role in the accurate preparation of financial statements from the origin, in order to enhance the quality of financial reporting. The study was co...

the company to expedite the submission to the SEC and the disclosure through the SET Electronic Information System. Meanwhile, EARTH executives are subject to investigation regarding their duty

B.E. 2535 (1992). By committing the aforesaid act with a wrongdoing intent, Wichai benefited from the results of the election. Such misconduct is therefore liable to dishonest performance of duty

Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform...

คณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จึงปรับปรุงหลักเกณฑ์ที่เกี่ยวข้อง เพื่อรองรับกับมาตรการดังกล่าว โดยขยายขอบเขตการลงทุนของกองทุน Thai ESG เน้นบทบาท บลจ. ในการใช้ fiduciary duty เพื่อ

and major shareholder of WHA, disseminate news about the negotiation of purchase deal with other listed company by giving interview to The Press which may cause any other person to understand that the

shareholders? rights and investors? decision making.        THL must submit the report of the special audit to the SEC within December 9, 2011 and disseminate it to the public via the Stock Exchange of Thailand

Sanction Mr. Wiwat Chiamvitayanukul Performing duty as marketing officer without taking into account clients? interests by supporting clients to

Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer dated December 21, 2000, clause 14 (6) and 14 (13) (as amended) Suspension from duty for 9 months