Bangkok, 24 January 2024 – The Securities and Exchange Commission (SEC) reinforces collaboration with the Department of Special Investigation (DSI) regarding the legal proceedings against the falsification of accounts and financial statements, and the deceitful practices towards the public in the case of Stark Corporation Public Company Limited (STARK). The SEC is also prepared to extend full cooperation if DSI requires additional clarifications or further investigation in the case.Accord...
The Securities and Exchange Commission (SEC), led by Mr. Thawatchai Pittayasophon, Deputy Secretary-General, and Ms. Pattanaporn Tripipat, Assistant Secretary-General, had a joint meeting with the Department of Special Investigation (DSI), led by Police Major Yutthana Praedam, Deputy Director General and Acting Director General, and Police Lieutenant Colonel Jukkrit Visetketgarn, Director of the Bureau of Financial-Banking Crimes and Money Laundering, to discuss the developments of the leg...
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workshop to exchange information on cyber scams as well as identification and examination of crypto nominee accounts for representatives from public and private sectors. On this occasion, Ms. Jomkwan
will yield good returns and will effectively reinforce the SEC's financial stability Announcement of signatory Investment Governance Code (I Code)(Thai Version Only) Our Roles How We Regulate SEC
Questionnaire No. Particulars Firm's Reference /Guidance Notes Description 1 Does the audit firm design and implement the risk assesment process that includes the identification of quality objectives
everyone in the firms, even if he or she is not allocated to the engagement. • The identification of related parties of the audit firms is not sufficient, which may cause the firm not to consider the
business, which also reduces redundant identification processes. As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be
identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect
communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management