adequate information for customers’ risk assessment (Know Your Customer and Customer Due Diligence system (KYC/CDD)). DAB Act S.30 Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 4

underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of

Bangkok, November  20, 2013 ? SEC, ThaiBMA and TIA introduce ?Bond Supermart? to encourage retail investors access to corporate bonds in the secondary market with adequate information for investment

ensure that such investors would have adequate access to relevant information to better understand financial products before making well informed investment decisions.?The consultation paper is available

while classification of assets treated as capital will be more flexible. In this regard, guidelines for the business operators unable to maintain adequate capital will also be prescribed. The consultation

Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as

Bangkok, August 15, 2014 ? The SEC is seeking public comment on draft capital requirement rules applicable to securities companies being unable to maintain adequate net capital as prescribed

issuers. The proposed revision intends to simplify the rules and  strike a balance between the investors? need for adequate information disclosure with respect to their  investment decision and the

Bitazza could know and verify the true identity of its customers, including acquiring adequate information for customers’ risk assessment. DAB Act S.94 in conjunction with 30 Settlement Committee Meeting

securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information