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...
Currently, the IPO regulations specify that an IPO applicant shall not get involved in any illegal business without specifically defining the term. Thus, the term can be broadly interpreted and may
Estate Investment Trust. Clause 2 REIT shall report to the SEC Office immediately when one of the following circumstances occurs: (1) any circumstance that may affect REIT to be dissolved; (2) any
Audit Committee of the listed company if there is any suspicious circumstance that indicates that a director, manager or the person responsible for the operation of the juristic person may have
the principle and the draft regulation which would require the auditor to report to the Audit Committee of securities company** or the Audit Committee of listed company any suspicious circumstance
Compliance) to the SEC through a system prepared on the website of the SEC Office within 7 business day as from the occurrence of such circumstance. However, KWI reported the discontinuation of such a person
Office through a system prepared on the website of the SEC Office within 7 business day as from the occurrence of such circumstance. However, KWI reported the discontinuation of such a person on 26
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
occasions, EARTH did not present any clear facts of whether the increased debt was mostly special circumstance damages or opportunity costs. According to the special audit conducted by EARTH at the
issuance of sukuk certificate and transfer: (a) the way to transfer of sukuk; (b) specimen of sukuk certificate attached to a trust instrument (if any); (6) specifying circumstance that causes termination of