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
Japan. For example, it is required to get an approval of any changes or additions to the form and taste of products, of determining and changing marketing strategies, and of the design and store locations
intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to-face meeting) with staff of the securities company, when requested
reason, which might indicate an intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to-face meeting) with staff of the
the same type for no apparent reason, which might indicate an intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to
legal requirement on minimum face value of debentures may be too high and hinder retail investors to access debt markets, or the prohibition of set-off can cause unnecessary procedures and fees to issuer
compact disc in order to accommodate the demand of an investor to get prospectus in such form, the offeror shall prepare information in compact disc in the same as information [submitted to the SEC Office
less than 33 percent of the principal of the bond at the face value per unit as of the issuance date; Agenda item 3: Consideration for approval of an amendment to the terms and conditions to allow
temperature screening at the office entry Supply the daily healthcare including face masks and alcohol gel Disinfect office spaces on a regular basis I. Cost reduction Negotiate to reduce rental fee with
offering (PO) and private placement (PP); removing a minimum 10 million baht of face value in all cases and a minimum redemption value of 80% of principal in case of PP. The revised regulations to become