. Chapter 2 Compilation and Assessment of Client Information __________________ Clause 6 In compiling and assessing client information according to Clause 30 of the Notification on Standard Conduct of
. The SEC is therefore conducting a public hearing on the proposed amendments. The major changes to be introduced are as follows: (1) Specifying the process of SEC Office in assessing whether the
special audit process, which remains incomplete. Furthermore, JKN must take the results of the special audit into consideration when assessing the impact on its financial statements. The SEC has
a crowdfunding system; (2) crowdfunding must be conducted through a funding portal approved by SEC and the funding portal must have a system for assessing creditworthiness and risks of debenture
approved, SEC will begin assessing digital token offer of ICO issuers.ICO issuers must be companies established under the Thai legal jurisdiction, with clear business plan and clear rights for digital
stage, an offer for sale of ASEAN CIS will be allowed only to institutional investor and high net worth individual as they can take care of and protect their own benefit and are capable of assessing
Bangkok, February 29, 2016 ? The SEC has laid out a guideline for listed companies to simplify their proof of identity requirements imposed on shareholders or their proxies at the annual general
fund (ETF) listed on foreign market affecting net asset value (NAV) of domestic gold funds. AIMC guideline, although allows asset management company and trustee to jointly exercise their discretion to
| - |- Guideline on the commencement for operation of securities / derivatives business | - |- Securities Brokerage (Section 113) | - |- Brokerage of capital market product denominated in foreign currency