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
notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
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
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
when selecting securities brokers and should seek verification on the securities licensees of such brokers by visiting the SEC website at www.sec.or.th or inquiring the information from the SEC Help