service for share subscription, for example, would be allowed to use a suitable method for account opening if they could prove that adequate safeguards against impersonation risk have been in place under
and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and
registration statement (if any), must emphasize on information of the issuing branches, either short-term or long-term debt securities, to better reflect credit risk.Also, to ensure adequate information for
regulations focus more on clear and adequate information disclosure for investment decision making,? said Vorapol.
Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate
General Regulations for Operation as Derivatives Exchange __________________ Clause 6 A derivatives exchange shall have sufficient funding to support its operation and manage potential risks from their
: Rules, Conditions, and Procedures for Operation of Securities Clearing Houses and Central Securities Depositories dated 3 August 2016 with respect to the procurement of adequate financial resources for
measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of
has decided that intermediaries shall comply with the rules and conditions issued by the AMLO instead; however, intermediaries shall have an efficient risk management system adequate for the prevention