trading, affiliated transaction, soft commission and staff dealing; (6) The investment in derivatives and innovative financial instruments; (7) The determination of guideline for complaint acceptance and

prevention of conflict of interest in the fund management which are proprietary trading, affiliated transaction, soft commission and staff dealing; (6) The investment in derivatives and innovative financial

Emerging Technology Risk Amid the proliferation of innovative technologies, new business formats have sprung up to accommodate changing customer lifestyles in the digital era. As technological innovations

also creating innovative products and comprehensive services in keeping with changing customer expectations regarding financial services, with ever-greater consideration of consumer protection and

Foreign Currency 17/01/2017 16/02/2017     2. Notification of the Office of the Securities and Exchange Commission  SorOr. 6/2557 Verification of Foreign Collective Investment Scheme and Announcement of

public by such securities companies and derivatives broker. In this regard, the SEC Thailand assumes no responsibility for verification, examination or certification of completeness, accuracy and update of

NAV of PVD : Requiring the custodians responsible for safeguarding the assets of PVD to additionally establish an adequate system for NAV verification and verify the NAV of the PVD. Additionally, the

of due diligence and know-your-client assessments (DD/KYC), (3) supporting electronic non-face-to-face identity verification, and (4) allowing businesses to access anonymized data under possession of

-your-client and due diligence, custody of clients? assets and transaction verification to ensure that client services are efficient and to prevent exploitation of securities firms for improper gains

familiar with tools for verification before making investment decisions to build investment confidence. The SEC has participated in this activity for the 9th consecutive year since 2017.