Earlier, the SEC received tips from the concerned public and stakeholders that unlicensed digital asset business operators, both local and foreign, were soliciting investments and services to the public at a financial technology exhibition held at a shopping center. The SEC thus conducted an on-site investigation to collect evidence. Today, the SEC and the ECD inspected the exhibition booths at the fintech expo and found a number of business operators who may be liable to undertaking securities...
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
A study of intraday trading behavior around tick size changes A study of intraday trading behavior around tick size changes Roongkiat Ratanabancheun, Kanis Saengchote Chulalongkorn Business School
of intangible value. The aim of this study is to investigate the empirical findings regarding this association. Is there a relationship between ESG scores and intangible capital ratio? 01 02 03 Is it
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...
Facebook Page ชื่อ Study The Basics : Unlicensed securities and derivatives business (Disclosure Date : 06/12/2023)
Facebook page ชื่อ Study about Stocks : Unlicensed securities and derivatives business (Disclosure Date : 03/10/2023)
, 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