Supervision Board No. 21/2551 RE Rules on Connected Transactions and the Notification of the Stock Exchange of Thailand re Disclosure of Information and Practice of Listed Companies Concerning the Connected
) remuneration and punishment which is based primarily on service quality; (4) complete, clear and accurate sales process which must not mislead or be a nuisance to customers; (5) effective employee communications
[such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries
ปฏิบัติในการขายและให้บริการด้านผลิตภัณฑ์หน่วยลงทุนและตราสารหนี้ 3. แบบลงนามรับทราบความเสี่ยง หลักการและเหตุผล ปรับปรุงหลักเกณฑ์เกี่ยวกับประเภทคนขายและ sales process ของผลิตภัณฑ์ในตลาดทุน โดยกำหนดประเภท
The SEC has specified the list of eligible cryptocurrencies to be used for investment in digital tokens through ICOs process and as base trading pair against digital asset exchanges. Currently
process of selecting an auditor from the SEC Approved List. As conducting a special audit is a crucial matter that may impact the rights and benefits of securities holders or influence investor decisions
Essentially, the amendments would apply to digital asset business operators, i.e., exchanges, brokers and dealers, and cover the licensing process, from change to the fee payment time frame to
process is in line with the Capital Market Development Plan in the area of building competitiveness and business sustainability. It is expected to reduce the volume of paper use of the business sector by
by conducting the process of Know Your Client (KYC) so that they can provide appropriate services. Nowadays, an electronic KYC or e-KYC has been introduced to make KYC processes faster and become
Measures for preventing conflicts of interest are an important part of the SEC policy especially in the process of securities issuance and offering, which involves participation of key