company’s Trading Rules as approved by the SEC Board and its deposit/withdrawal service for digital assets with professional care to increase protection of its clients’ assets and ensure continuing services
Before providing investment service in the capital market, intermediaries, such as securities companies and asset management companies, must know their investors or clients’ detailed information
appropriately and sufficiently in line with the number of clients and the transaction volume; 2) Rectifying the client acceptance policy to be consistent with the work systems capable of providing services
additional client information; - The provision of services relating to investment analysis and consultancy so as to specify the plan for investment allocation for clients by distributing investments in
monitor investee companies responsibly for clients? best interest. Declaration of voluntary compliance with the I Code is expected for launch in 2017 and the disclosure of information based on the I Code
private funds, resulting in one all inclusive type which would be allowed to invest in any financial assets and transactions according to the agreements with the clients, and (3) permission for margin loans
market personnel including new types of capital market personnel required to obtain the SEC?s approval due to their vital responsibilities having high impact on the clients. The approval will be applicable
unlawful acts in other cases. ✓ ✓ ✓ Summary of the types of auditor’s reports (Form 61-4)* *Since 1 December 2020, this information has no longer been required. ✓ ✓ Related party transactions (RPT) of the
determines that FA independence will be impaired in cases where FA or commercial bank in the same conglomerate has granted a loan to any securities issuer or sponsor disposing asset into real estate investment
Bangkok, April 8, 2015 ? The Capital Market Supervisory Board approved regulations on payment of bounty to the informer as well as payment of gratuity to the arrestor in cases where fine is imposed