strengthen investor protection Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and capital adequacy. There are also new provisions
protection Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and capital adequacy. There are also new provisions about the
continuously focused on the development of knowledge standard for all professionals in the capital market since knowledgeable and quality professionals are instrumental in enhancing the quality of investment
understand and acknowledge the SEC Office’s Standard Procedures for Electronic Transmission of Information B.E. 2564 (2021) (Standard Procedures) and the Usage Manual on https://market.sec.or.th/Documents/ca
Intermediary 06/09/2013 01/04/2014 5. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to
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The SEC has revised the definition of Qualified Subordinated Debt to be excluded from the total liabilities for the calculation of net capital of business operators, viewing that the debt instruments
Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives
) Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies
The SEC has revised the definition of Qualified Subordinated Debt to be excluded from the total liabilities for the calculation of net capital of business operators. To align the issuance of