conducting an asset due diligence from every year after the previous due diligence to at least once in a calendar year, and permitting the use of other reliable methods to conduct an asset due diligence
Bangkok, 15 May 2018 ? The SEC will conduct a public hearing on draft regulations to be issued by virtue of the Royal Decree on the Digital Asset Businesses B.E. 2561 (2018), which became effective
and earning of the applicant significantly.In performing the duties of independent financial advisor, {X1} Securities and {A} failed to conduct a careful, professional due diligence on an acquisition of
of conduct. 1) In case of {A}: the SEC obtained from Kim Eng Securities (Thailand) Plc. a report on its investigation in response to a complaint lodged by a client. {A} admitted that during the year
opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct
. “securities company” means an entity granted a license to undertake securities business in the category of securities brokerage. “Notification on Standard Conduct of Business” means the Notification of the
perspectives on developing infrastructure policies that integrate technology in offering and trading financial products within the capital market. The SEC also met with representatives from the Financial Conduct
to conduct an inquiry into certain criminal offenses that may seriously undermine trust and confidence in the capital market or national economic system and aligning penalty measures with Section 77 of
enable LiVEx-listed companies to conduct business with more flexibility, while continually maintaining appropriate levels of investor protection. Another proposed amendment is a revision to the mai/SET