LawandRegulation_SecuritiesBusinessLicense_TypeD_Template_LBDU2.docx คำแนะนำเบื้องต้นในการลงทุนแก่ลูกค้าแต่ละประเภท เพื่อให้ลูกค้าเข้าใจความสำคัญในการจัดสรรและกำหนดสัดส่วนการลงทุนหรือการทำธุรกรรมในผลิตภัณฑ์ในตลาดทุนที่เหมาะสม (basic asset allocation) (อธิบาย
ประกาศ ภาคผนวก 4) นำส่ง Audit report ภายใน 30 วันหลังรายงาน BoD หรือ AC 90 วันหลั... https://www.sec.or.th/TH/Documents/LawsandRegulations/securities-ITchecklist.xlsx 1. Basic info เอกสารแนบ คำอธิบาย
international standard. The indicators will be of use in assessment of two aspects, namely CSR Progress Indicator and Anti-corruption Progress Indicator, ranging from basic to ultimate level of development. With
retail investors. The platform provides prices and necessary information of liquid bonds traded in secondary market as well as basic information, dealer contact details, and bond price and return
SEC’s website at www.sec.or.th and SEC Check First application. Additionally, the list of individuals or entities not regulated by the SEC is available at the Investor Alert Section on the SEC’s website
of licensed business operators is available at https://www.sec.or.th and the SEC Check First application. Additionally, the names of persons who are not regulated business operators under the SEC’s
development of all-sector participation, both public and private. The cooperation under the MOAs includes monitoring and oversight of listed companies, issuing companies and regulated agencies under the SEC
SEC has regulated regarding the method of Know Your Client (“KYC”) for securities and derivatives business operators through the use of principle-based regulations due to the fact that business
financial institution regulated by the SEC, audit firm with the SEC approved auditor and the Stock Exchange of Thailand (SET) or its subsidiary whose shares are held by the SET at least 75%, business operator
public and investors are advised to exercise caution when using services from digital asset business operators who are not licensed under Thai law or regulated by the SEC as they will not receive legal