ลการเสนอขายตราสารหนี้ plain/common ภายใตการเสนอขายแบบ PP-II/HNW 5 1.4 ตัวกลางในการขาย ปจจุบันสํานักงานมีขอกําหนด sales conduct สําหรับการขายหลักทรัพยแตละประเภท แลว แตหากหลักเกณฑไมไดกําหนดใหการ
conjunction with (11) and (12) of the first paragraph under Clause 12 and Clause 14 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management
Process ______________________________ Clause 8. Securities company must conduct know-your-client/ customer due diligence process (KYC/CDD) on the client and the ultimate beneficial owners and controlling
______________________________ Clause 8. Securities company must conduct know-your-client/ customer due diligence process (KYC/CDD) on the client and the ultimate beneficial owners and controlling persons of the transactions when
-Client / Customer Due Diligence Process ______________________________ Clause 8. Securities company must conduct know-your-client/ customer due diligence process (KYC/CDD) on the client and the ultimate
Office of the Securities and Exchange Commission No. SorChor. 29/2555 Re: Rules, Conditions and Procedures for the Approval of REIT Manager and Standard Conduct ___________________________________ With
related to sales conduct, HK-TH MRF MoU requires business operators to comply with the regulations of the host regulator of the jurisdiction wherein the offerings of fund take place; - The SEC is revising
for management of investments in derivatives; “Office” means The Office of the Securities and Exchange Commission. Clause 2. To ensure that each derivatives fund manager shall conduct its business as a