Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities Broker-Dealers (section 113) Revocation of License (section 147) Service Outsourcing Guide for
expected credit loss by considering economic conditions in the past, present, and future under various assumptions and circumstances.However, the Covid-19 outbreak has dramatically affected the Thai and
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
, 106) |- Reporting Requirements (Section 109) |- Disclosure | - |- Advertising (Section 98(10)) | - |- Securities Businesses (Section 108) |- Branch Offices / Representative Offices (Section 92, 93
offering with SEC. After the offer for sale of insurance capital bond, the issuer is also required to disclose financial information related to capital adequacy requirements to investors regularly.In
Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The
guideline for the benefit of compliance with requirements under this Notification. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied with the
of compliance with requirements under this Notification. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied with the requirements under this