mutual agreements to achieve rapid results, such as the project of “One-Stop Service” that was officially launched on 24 September 2019 and the project of “One Report” which will organize a seminar for
AIRA Securities Public Company Limited's report and the SEC's further investigation, he was found to have given investment advice on specific securities at a seminar and via Line application based on his
Scorecard (ASEAN CG Scorecard), said SEC Secretary-General Vorapol Socatiyanurak. In preparation for the assessment, the SEC jointly with Thai Institute of Directors (IOD) will hold a seminar for listed firms
relatively little access to capital resources and are not keen on utilizing bonds to enhance business continuity and efficiency,? said SEC Secretary-General Vorapol Socatiyanurak at a seminar entitled, ?Bond
/CDD) (4) reporting of suspicious transactions under anti-money laundering legislations (5) record keeping and retention of records in relation to know-your-client/ customer due diligence process and
) reporting of suspicious transactions under anti-money laundering legislations (5) record keeping and retention of records in relation to know-your-client/ customer due diligence process and reporting of
records of the collective investment vehicle’s assets, be these in electronic or paper form. In many cases this will result in their https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN
%20Responsibilities_2013.pdf Custodians Custodians are responsible for the safekeeping and maintaining of records of the collective investment vehicle’s assets, be these in electronic or paper form. In many cases this will
, effective from 17 March 2020. Investors are strongly advised to thoroughly check and make sure that the evidence of all transaction records, both buy and sell sides, is genuinely issued by the banks or the
case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents