Prior to the on-site inspection, the SEC communicated concerns with the venue owner and the event organizer, resulting in suspension of seven exhibitors’ activities. Today, during the inspection, 16 more exhibitors were found to be engaging in securities, derivatives and digital asset businesses without proper license. The SEC therefore notified the event organizer to close the booths and suspend the activities of the 16 exhibitors, which may constitute a legal violation, and gathered more evide...
Bangkok, November 19, 2014 - The SEC organized ?5th SEC Working Papers Forum?, presented two research papers addressing ?Behavioral Finance and Regulations Who won and Who lost?? The studies found that rationale is not the only factor influencing investment decision making while the regulator should put in place proper regulations to protect investors and provide appropriate investment alternatives.Dr. Vorapol Socatiyanurak, SEC Secretary-General said that the 5th SEC Working Papers Forum, organ...
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC gives priority to the audit quality control system of audit firms in the capital market, and regularly inspects and issues inspection
work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor
firms in the capital market, and regularly inspects and issues inspection https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9346 SEC reveals non-compliance of EIC tender offer price Bangkok, January
licensed digital asset business operators in Thailand to ensure protection under the Digital Asset Business Law. The SEC closely monitors and inspects compliance with the law. Investors using services from
Company inspects, monitors and assesses the risks affecting the achievement of the vision, objectives, goals or strategy on the operation of the Company, and identify the preventive measures at an
policy and plan Describe the policy, operating framework and organizational risk management plan to demonstrate that the Company inspects, monitors and assesses the risks affecting the achievement of the
agencies to block social media accounts engaged in fraudulent investment activities. “The SEC examines the customer identity verification (KYC/CDD) systems of digital asset business operators regularly
the SEC Office in Bangkok. The workshops provided a platform for regulators across ASEAN to exchange knowledge, experiences, and challenges on audit quality oversight and financial reporting reviews