Bangkok, April 27, 2016 ? The SEC has revoked approval as securities investment consultant of three employees of AIA Co., Ltd., namely (1) Atcmima Pattanapinyokul, (2) Laddawan Preechasiriratna, and 3) Orapin Raiwiboon. In connection with the case, the application for approval as investment consultant submitted by {A} has been rejected. According to a report from Thailand Securities Institute (TSI), the Stock Exchange of Thailand, there was an incident of intentional dishonest act committed on...
Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives trading orders. Failure to do so will therefore result in the SEC's administrative actions. In this regard, the SEC on July 5, 2012 imposed administrative sanction on three investment consultants by suspending {A}, an employee of Kiatnakin Securities Co., Ltd. and {B}, an employee of Phara Securities Plc...
SEC Secretary-General, Ruenvadee Suwanmongkol, said, "The efficiency of law enforcement depends in one part on the competency in gathering and testing the evidence. Currently, the offenses in the
unable to obtain sufficient and appropriate audit evidence with respect to valuation of investment in PT Sunhub Mining International (SMI), an associated company, and share of loss of investment in SMI
Plc. (LVT) concerning alleged unfair treatment in course of the SEC investigation.The SEC Deputy Secretary-General Vasant Thienhom revealed that ?the interview is a process of gathering evidence in
unable to find sufficient evidence to justify the management's decision to execute transactions for investment in two associate companies. In addition, the auditor could not reach a conclusion for the
the information on the clients’ assets under its custody. The exchange is also required to show evidence on the investments of the clients’ digital assets that had been deposited with ZipUp via various
Jitta Wealth Asset Mannagement C Between March 1, 2023 and May 11, 2023, Jitta Wealth Asset Mannagement Co.,Ltd, a fund management company, there is not documentary evidence of the fund manager’s
’ qualified opinions resulted from limitation on their scope of audit/review. Hence, the auditors were unable to obtain sufficient and appropriate audit evidence with respect to valuation of investment in PT