Bangkok, 24 November 2017 ? The SEC urges investors to read important information on the prospective listed companies to examine duty performance of company directors and executives before making investment decisions. Investor education, market discipline and stakeholder participation are also emphasized apart from supervision and enforcement.Mrs. Sirivipa Supantanet, SEC Assistant Secretary?General, said: ?Annual report and other reports such as quarterly financial statements and management dis...
Complex Type 2 Investment Consultant
Zipmex Company Limited Between November 9, 2023 and May 27, 2024, Zipmex Company Limited ("Zipmex"), a digital asset exchange and broker, failed to provide effective systems for selecting
, especially in overseeing the quality of financial reporting process, selecting quality auditors, and communicating adequately with the auditors. It also served as a channel to provide information and useful
process of selecting an auditor from the SEC Approved List. As conducting a special audit is a crucial matter that may impact the rights and benefits of securities holders or influence investor decisions
training also covered fundamental knowledge about carbon credit standards, strategies for reducing greenhouse gas emissions through various mechanisms, guidance on selecting appropriate carbon credit
policy(2) Preparing consent forms(3) Selecting and implementing appropriate security safeguards such as access control(4) Producing and managing “Record of Processing Activities (ROP)” that will used to