SEC has regulated regarding the method of Know Your Client (“KYC”) for securities and derivatives business operators through the use of principle-based regulations due to the fact that business operators have different in sizes, target audience, and number of clients. Therefore, it depends on the business operators to find the most appropriate method to perform e-KYC as long as they follow the objectives and principles as notified.Now, SEC is seeking public comments on the guideline of ad...
Offeror : | Date of submission of the Statement of Intention : 26/12/2019
Offeror : | Date of submission of the Statement of Intention : 15/01/2020
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities
Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the
, B.E. 2483 (1940), the next step is for the creditors to file for debt repayment with the official receiver of the Legal Execution Department within one month from the publication date in the Government