breaches of the laws, code of ethics and professional standards, together with the preventative measures. (5) Documentary preparation and record keeping which comprises of the following: (a) the preparation
รำยงำนตำมแบบและวิธีกำรที่สมำคมตลำดตรำสำรหนี้ไทย ก ำหนด 2. ระบบจัดเก็บเอกสาร/ข้อมูล (record keeping) กรณีที่กำรให้ค ำแนะน ำ กำรรับค ำส่ังซื้อขำยหรือกำรเจรจำตกลง ได้กระท ำทำงโทรศัพท์เสนอให้พจิำรณำก ำหน
demonstrate that the applicant would have readiness of personnel responsible for business of trustee. Clause 4 An applicant shall submit an application together with the relevant evidentiary documentation to
/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
documents in full according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or
the Notification No. Tor Thor. 60/2561, the intermediary shall submit an application for approval to the SEC Office together with the evidentiary documentation specified in the Licensing Manual for the
documents in full according to the procedures specified in the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or filled up at the
On 11 April 2024, NEWS published the AGM 2024 notice together with supporting documentation on the company’s website. The meeting agenda covered the consideration for approval of an increase in
developed such as One For All Reporting System (OFAR) to reduce documentation burden for those making contact with the SEC and shorten the period for processing and disseminating information to the