, 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
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...
Bangkok, April 9, 2014 ? The SEC and the Securities and Exchange Commission of Cambodia (SECC) entered into a Memorandum of Understanding (MoU) to strengthen cooperation in providing assistance to
Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000
Reporting Reform, said ?the AARG has done exemplary work to promote regional knowledge sharing in the challenging area of audit regulation. We seek to support its efforts to raise audit quality and strengthen
SEC Secretary-General Ruenvadee Suwanmongkol said, "Under the current global situation that technology and user behavior has changed dramatically, which may come with cybersecurity risks, SEC has realized the importance of business preparation in this matter. For this reason, SEC is set to launch an online training under the topic of “Incident Response from the Pentester’s Eyes View” and “Cybersecurity Incident Playbook: Priorities & Best Practices”, which will be graced by the presences...
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานสัมมนา Compliance Meeting หัวข้อ “Strengthen Self-Regulate กำกับดูแลตนเองอย่างเท่าทัน” ให้แก่เจ้าหน้าที่ดูแลการปฏิบัติงานด้านหลัก
offering and to strengthen proper investor protection mechanisms. Pursuant to the amended regulations, investors’ rights will be protected fairly according to the characteristics, forms and risks of the
The Securities and Exchange Commission, led by Secretary-General Pornanong Budsaratragoon and the management team, held a meeting with the Thai Investors Association (TIA), led by President Mr.Yingyong Nilasena, directors and advisors, together with members of the Shareholders’ Proxy Volunteer Club, to discuss collaboration in developing and enhancing the protection of shareholders’ and investors’ rights in alignment with the changing capital market ecosystem. The discussion included st...
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...