still deficient compared to the other aforesaid areas. More improvements are expected since funds are mostly sold through banks, and investors can purchase funds with a limited number of distribution
deficient interests to the client (if any); (c) reviewing the system or measures and providing a plan for improvement of such system or measures in order to prevent recurrent failure of their performance; (d
of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its client activity oversight was insufficient to effectively verify the identity of clients or their
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
) (“the Emergency Decree”), has a financial condition that may cause damage to clients and a management structure and personnel that are deemed inappropriate and insufficient for efficient and responsible
to solve SMEs’ existing problems,” including a shortage of fundraising channel, insufficient fundraising information, and lack of business development tools. All these things are SMEs’ and startups
that are inconsistent with international standards or insufficient to protect investors' interest efficiently."The new Securities Law covers six areas as follows:(1) Enhancing flexibility of
Department accepted on 13 May 2018. Earlier, the Department dismissed IFEC request to have Mr. Theetiphan Thepphadungporn registered as a new director.Having only three directors on the board is insufficient