Bangkok, September 24, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to-date and practical...
Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to-date and practical framework and aim at mitigating undesirable impacts on securities firms?...
offering). The independent financial advisor (IFA) considers that the information disclosure in this case is insufficient, and the company is exposed to the risk of absence of due diligence in the
) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties
of high fraud risk areas, group audits, procedures addressing going concern issues, and professional skepticism Inadequate documentation of audit works Insufficient supervision in certain high-risk
decreased 9.79 million Baht, or 2.91% from the same period of previous year due to the slowing of the economy. Investment and government expenditure were not enough to drive the economy. While the private
Bitkub Online Company Limited Between January 2-21, 2021, Bitkub Online Company Limited ("Bitkub"), a digital asset exchange, provided inappropriate and insufficient systems concerning
Bitkub Online Company Limited Between January 6, 2021 and May 28, 2021, Bitkub Online Company Limited ("Bitkub"), a digital asset exchange, provided inappropriate and insufficient systems
Bitkub Online Company Limited Between December 28, 2020 and January 20, 2021, Bitkub Online Company Limited ("Bitkub"), a digital asset exchange, provided inappropriate and insufficient
Bitkub Online Company Limited Between January 8, 2021 and July 19, 2021, Bitkub Online Company Limited (“Bitkub”), a digital asset exchange, implement inappropriate and insufficient market