additional client information; - The provision of services relating to investment analysis and consultancy so as to specify the plan for investment allocation for clients by distributing investments in
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
be useful for policy making with regard to exchange rates and financial system in an effective and timely manner.The SEC therefore proposes to revise relevant regulations to require securities
prevent abnormal securities trading. In so doing, both organizations have prepared and disseminated information for monitoring of securities trading in that the SEC has disclosed Turnover List while the SET
by conducting the process of Know Your Client (KYC) so that they can provide appropriate services. Nowadays, an electronic KYC or e-KYC has been introduced to make KYC processes faster and become
which are fixed income funds making daily redemptions and same-day settlements or settlements on the next business day. It is therefore crucial that they maintain adequate liquidity to respond to
IFEC and its remaining directors to do so most urgently. In addition, since holding a shareholders? meeting for such purpose could have a material impact on the shareholders? rights, the SEC therefore
capital shares for a private placement at 0.077 ? 0.079 baht per share, totaling 465.6 million baht, during 22-23 and 26 September 2016. In so doing, NEWS did not file an application for a private placement
(s) with the ultimate power of control of the tender offeror. In addition, it was found that disclosure of certain topics in the tender offer documentation was unclear.The SEC therefore ordered North
long information disclosure forms. This idea was well supported from both business operators and investors. SEC is therefore seeking opinions on the draft notification before it becomes into effect