Secretary-General, said: “Today’s event was aimed at promoting and supporting the development of stronger mechanisms to help businesses and organizations in the capital market safeguard their brand identity
Identification And Beneficial Ownership For The Securities Industry และ Anti-Money Laundering Guidance for Collective Investment Schemes จึงขอเปิดโอกาสให้บริษัทหลักทรัพย์และผู้ประกอบธุรกิจ http://law.sec.or.th
) development of the Financial Competency Framework for Educational Purpose to be adopted as a guideline for appropriate teaching and learning management at each education level, (2) identification of a set of
business, which also reduces redundant identification processes. As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be
communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management
identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect
action. To safeguard investors and prevent unlicensed digital asset trading platforms from being exploited as channels for money laundering, in line with the intent of the Royal Decree on Measures for the
requirement in the identification and verification process for the onboarding clients who already have relationship managers elsewhere outside the premise or the clients who have a life-time ID card without
, particularly the duties of the boards of directors, which are primarily responsible for setting policies and directions for businesses that must safeguard shareholders' interests. The SEC’s roles include
to safeguard investors’ interests. SEC has revised the following five notifications, namely, (1) The draft notification relating to the investment of mutual funds, (2) the draft notification