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...
, 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
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ได้ร่วมกล่าวแสดงเจตนารมณ์การสร้างสังคมดี ในฐานะผู้แทนของภาคตลาดทุน ในพิธีเปิดงาน Good Society Summit
titled "Managing Climate-related Risks and Opportunities in Equity Analysis and Investment." The webinar, co-organized by Thai SEC, CFA Institute and CFA Society Thailand, is aimed to provide insights
Foundation, the Thai Red Cross Society (center)2. Mr. Chatchai Promlert, Vice Chairman of the Foundation (forth right)3. Dr. Sorajak Kasemsuvan, Committee Member (third right)4. Mr. Adisak Panupong
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...
enterprises, the cooperation and participation of the public in the promotion of positive impacts on the society and the environment.__________________________
Pursuant to the MOU, SEC and TGO will cooperate in sharing knowledge, communicating and giving advice to listed companies, securities issuers or business operators under SEC supervision regarding the importance and the benefits of reporting carbon footprint for organization. Both parties will also ensure to have Carbon Footprint for Organization monitoring, reporting and verification (MRV) system in place in accordance with international standards. On 19 August 2020, SEC in cooperation with TGO,...
The Securities and Exchange Commission, Thailand (SEC Thailand) today co-organizes a webinar with the CFA Institute and the CFA Society Thailand on “Guidelines for ESG Integration in Equity Analysis