travel to, and temporarily reside in, Thailand. They must also conduct Know Your Customer/Customer Due Diligence (KYC/CDD) procedures according to the criteria of the Anti-Money Laundering Office (AMLO
provision and at least once a year thereafter. In addition, digital asset business operators must conduct a cyber resilience assessment every year. Regarding custody of clients’ digital assets, the SEC
.; (2) Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1) before approving an account opening to ensure that
In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for
to conduct an audit work of such juristic person, if the auditor discovers any suspicious circumstance that a director, manager or any person responsible for the operation of such juristic person
There have been a large number of holding companies that issue IPOs. These companies conduct various types of businesses and comprise many affiliates, both in Thailand and in other countries. In
for investment in such product via online social media channels such as Facebook, YouTube and MRC - BIZ website. Earlier, in this regard, the SEC notified the company to end such conduct that may be
Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 re: Standard Conduct of Business, Management Arrangement, Operating Systems and Providing Services to Clients of Securities Companies
. ________________________________*SECTION 89/25. In auditing a securities company or a company in accordance with the auditing standards, either as the appointed auditor of such juristic person or as a person allowed to conduct
ที่ประชุมได้หารือในประเด็นที่มีความสำคัญและมีความท้าทาย อาทิ การกำกับดูแลพฤติกรรมที่เป็นภัยต่อผู้ลงทุนแต่ยังไม่ถึงระดับที่ผิดกฎหมาย (harmful, but legal conduct) โดยในเรื่องนี้เลขาธิการ ก.ล.ต. ได้ร่วม