fund investments. 1. Suchart Techaposai, former executive vice president, chief investment officer and mutual fund manager of AJF Asset Management Co., Ltd., made a careless, imprudent decision to
Bangkok, June 23, 2011 - The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from performing duty as an executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated that his misconducts on clients? assets involved dishonesty, deceit or embezzlement and wrongful use of client?s assets. Following the complaint lodge...
Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000
Bangkok, December 24, 2008 ? Starting mid January next year, the SEC ? in cooperation with the Stock Exchange of Thailand (SET), the Thai Listed Companies Association and the Thai Company Secretary Club ? will hold a series of seminar on acquisition/disposal of assets of listed companies under the amended securities law. The seminar entitled, ?Connected Transactions and Acquisition/Disposal of Assets under the Securities and Exchange Act (No. 4) B.E. 2551 (2008)? will run for 10 sessions from Ja...
complain on the company?s investor contact, Chalerm, the SEC found that Chalerm had received securities and derivatives trading orders from clients, but he had not made any of the transactions. Instead, he
, 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
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
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
UNOFFICIAL TRANSLATION PAGE 12 Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and