procedure for verifying clients’ authentication suitably and reliably to ensure that the investments or transactions related to capital market products have been executed by the clients or their assigned
-ร่าง- (UNOFFICIAL TRANSLATION) Codified up to No. 5 As of 28 September 2018 Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 14/2558 Re: Provisions relating to Offer for Sale of Securities Issued by Foreign Company Whose Shares Have Been Traded or Are Purposed to be Traded on Foreign Exchange ___________________ By virtue of Section 16/6 of the...
the financial advisor who jointly prepares and certifies the Registration Statement to be appropriate and capable of making an appraisal that reflect the true value reliably and sufficiently. Such
growth in digital world more efficiently while key risks and compliance issues are defined and managed securely and appropriately. Continual Enhancement of Fraud Management and Intelligent System to
a decision to invest or [ii] contains any misleading statement; (2) the applicant has an insufficient system to continuously and reliably prepare and disclose the information in accordance with