.; (2) Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1) before approving an account opening to ensure that
In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for
conduct must be as strict as those imposed on the sale of high-risk products and the associated risks must be clearly disclosed; (8) Debt issuers must use the raised money to repay for the earlier
to conduct an audit work of such juristic person, if the auditor discovers any suspicious circumstance that a director, manager or any person responsible for the operation of such juristic person
There have been a large number of holding companies that issue IPOs. These companies conduct various types of businesses and comprise many affiliates, both in Thailand and in other countries. In
for investment in such product via online social media channels such as Facebook, YouTube and MRC - BIZ website. Earlier, in this regard, the SEC notified the company to end such conduct that may be
Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 re: Standard Conduct of Business, Management Arrangement, Operating Systems and Providing Services to Clients of Securities Companies
. ________________________________*SECTION 89/25. In auditing a securities company or a company in accordance with the auditing standards, either as the appointed auditor of such juristic person or as a person allowed to conduct
ที่ประชุมได้หารือในประเด็นที่มีความสำคัญและมีความท้าทาย อาทิ การกำกับดูแลพฤติกรรมที่เป็นภัยต่อผู้ลงทุนแต่ยังไม่ถึงระดับที่ผิดกฎหมาย (harmful, but legal conduct) โดยในเรื่องนี้เลขาธิการ ก.ล.ต. ได้ร่วม
suspicious acts, please call SEC Help Center at 1207 so that the SEC can conduct further investigation. In case of liable offenses under other laws, the SEC will cooperate with related agencies for further