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...
Management Discussion and Analysis 1 Ref: AC.017/2020 18 May 2020 Subject: Management discussion and analysis of financial position and operating results To: President and Manager The Stock Exchange
Pecunia Asset Management : Unlicensed securities and derivatives business (Disclosure Date : 31/10/2022)
The Securities and Exchange Commission (SEC) and the Association of Thai Securities Companies (ASCO) co-organized the SEC 2024 Supervision Approach and Risk Management Guideline seminar to foster
officers of asset management companies to discuss and share views on business development and the board of directors’ roles are responsibilities regarding liquidity risk supervision. Now, the SEC is
Microsoft Word - 2002-003EN Management Discussion and Analysis for the year 2019 (Ending Dec 31, 2019) (Revise Template) Ref. No. 2002/003EN February 20, 2019 Subject Management Discussion and
Microsoft Word - 2005-014EN Management Discussion and Analysis for the Q1 2020 (Ending Mar 31, 2020) Ref. No. 2005/014EN May 13, 2020 Subject Management Discussion and Analysis for the Q1/2020
Microsoft Word - 1911-033EN Management Discussion and Analysis for Q3-2019 (Ending Sep 30 2019).docx Ref. No. 1911/033EN November 12, 2019 Subject Management Discussion and Analysis for Q3/2019
been in place, so that the SEC imposition of supervision and enforcement measures will be considered proportionately and appropriately, in favor of such business operators. The risk management manual
Mrs. Pornanong Budsaratragoon, SEC Secretary-General, delivered a keynote speech on "Supervision for Sustainable Growth" at the TFPA Wealth Management Forum 2023: Default & Fraud, organized by the