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...
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual
to ensure that asset management companies have standardized work and also ensure that they are consistent with conditions for tax privileges. The investors investing in SSF units could get
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual (No. 2)
investors to get started; especially the first jobbers with small earnings to obtain adequate returns for their needs. The SEC also published the Project brochure for dissemination through the selling points
system. The exemption provides tax equalization, eases burden and attracts individual?s investment, which will facilitate investment in listed ASEAN securities through SET trading system and thus
เปลี่ยนบริษัทจัดการของกองทุน GET: https://api.sec.or.th/FundFactsheet/fund/ {proj_id}/ fund_manager ชื่อ Field / รายละเอียด seq / ลำดับ (เรียงจากล่าสุด) unique_id / รหัสบริษัทจัดการ efft_date / วันที่มีผล
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
%20Responsibilities_2013.pdf horizons for individual staff members advance alignment with the interests of beneficiaries and clients. Asset owners may wish to ensure that remuneration frameworks do not unduly constrain