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...
guidelines Auditing Mechanism and Balances The SEC Board is empowered to appoint the Audit Committee to reinforce transparency, fairness and accountability of the SEC. This checks and balances structure
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
· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
333/3 Viphavadi Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel: +66 1207 or +66 2695 9999 Fax: +66 2695 9660 e-mail: info@sec.or.th BU I L D ING BR IDGES INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 BUILDING BRIDGES Securities and Exchange Commission, Thailand Securities and Exchange Commission, Thailand Contact Information This report is available for download on the SEC website: www.sec.or.th For more information, p...
, the SEC found that the audit firms did not seem to evaluate 11 whether there were any threats to independence or any conflicts of interest before issuing engagement letters to clients. Beyond
any conflicts transparently to them. 1.5 Appropriate remuneration structures Institutional investors’ pay structures should reinforce their culture and focus on advancing beneficiary or client interests
evaluate the process for a rigorous review of the performance of the board, the company secretary (where such a position exists), the board’s committees and individual directors prior to being proposed for
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm