Securities and Exchange Commission No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing
, conditions and procedures as specified in the notification of the SEC; (8) engage in any other business which is not a licensed securities business, except when an approval has been granted by the SEC; Other
) ................................................................................................................................................................. As the user of Company Account with the power and duty related to electronic submission of information to the SEC Office in accordance with the SEC Office’s Standard Procedures for Electronic
Notification of the Securities and Exchange Commission No. Kor Thor. 31/2024 Re: Rules, Conditions and Procedures for Undertaking Digital Asset Businesses (No. 26), dated 26 December 2024.https
Your Customer (KYC) and Customer Due Diligence (CDD) procedures in accordance with the standards set by the AMLO and other relevant authorities. These procedures apply to both DA business operators and e
procedures for change of agent to collect and receive payments of debt. Currently, regulations have not been prescribed for the said matters.To ensure that the private sector will have clear guidelines for
covers draft operational procedures rules in case of failure to meet the requirement. The draft amendments aim to (1) support intermediaries in maintaining sufficient capital suitable for the nature of
protection mandate, education is an SEC’s crucial tool. “This seminar on class action legal proceedings will enhance knowledge of investors and interested parties about steps and procedures of the lawsuit
application helps raise awareness of the general public on financial planning for their future stability. Meanwhile, the SEC has never stopped improving relevant procedures to achieve higher efficiency in
guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and