member is able to select investment policy properly. Clause 31 For the purpose of compilation and assessment according to Clause 30, an intermediary shall obtain at least the following a client’s
Liquidity risk is defined as the risk caused by a failure to obtain sufficient funds at appropriate costs to meet obligations when they come due, and/or an inability to convert assets into cash. Liquidity in
Committee and the Board of Directors. 17 Liquidity Risk Management Liquidity risk is defined as the risk caused by a failure to obtain sufficient funds at appropriate costs to meet obligations when they
Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft capital market personnel rules aiming at compiling and standardizing the rules and guidelines concerning all types of capital
standard qualifications of salespersons. On the sales process side, the aim will be to prevent mis-selling or inappropriate selling of financial products to investors at the pre-sales, point of sales, as
value of the investment in the shares of the buyer at the same share price. The auditor has not been able to obtain sufficient and appropriate evidence to verify the gain on sale of the investment in
, including foreign digital asset business operators, were soliciting the public to make investments with, or use services of, such unlicensed entities at a financial technology exhibition held at a shopping
Bangkok, November 24, 2014 ? The SEC advised shareholders of Asia Joint Panorama Plc. (AJP) to study information and exercise their voting rights at the Extraordinary General Meeting scheduled on
leading the public to believe that the said company is: (1) a social enterprise thus allowed to make a public offering without the requirement to obtain approval or file a registration statement with SEC