services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering legislations, or where the know-your-client

/suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering

derivatives investment advisors. ✓ ✓ ✓ ✓ Company profiles and reports on wealth advice service (annually). ✓ 1. Data relating to operating systems and actions with intermediaries; 2. Appraisal companies

- ร่าง - (UNOFFICIAL TRANSLATION) Attachment to the SEC Office Notification No. Nor Por. 4/2561 List of the countries recognized by the SEC Office concerning supervisory measures on investment

," focusing on measures and guidelines to encourage and support businesses in the Thai capital market to effectively apply HRDD in their operations. The event took place on 28 February 2024, in Bangkok.

Code of Ethics. Additionally, the e-training aimed to raise awareness in alignment with ethical standards to foster stakeholders’ trust and confidence. It was part of the measures for strengthening

percent of the NAV at daily closing. This liquidity boosting option is valid until 30 April 2020, as part of the key measures to help asset management companies manage the assets under management more

operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring

shares, by primarily taking into account the appropriateness and sufficiency of information used for making investment decisions and measures for investors protection. In this regard, the Office may also

intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9 In case the association