institution’s clients. However, the securities company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to
company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to requesting for approval from senior
financial institution’s clients. However, the securities company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and
for listing or issue manager to the offer; c. underwriter to the offer; d. legal adviser to the offer; e. contact person; f. arranger of the offer; and g. other parties who are responsible for
Management Company and a Thai Covered Fund must observe after obtaining SFC authorisation. The SEC will issue a separate circular which sets out the eligibility and ongoing requirements, as well as SEC rules
) to study the legislation relating to the oversight of audit firms and auditors in the Thai capital market, compared to the international counterparts. The target is to issue a proposal and means to
. Expenses of the Issue 1. Disclose the expenses to be paid in relation to the public offering to enable investors and others to assess how much of the offering proceeds will be available for the issuer
principal bankers to the extent the issuer has a continuing relationship with such entities; b. sponsor for listing or issue manager to the offer; c. underwriter to the offer; d. legal adviser to the offer; e
deforestation. Publish details of action taken as a result of portfolio risk assessment, including considerations for strategic asset allocation and whole investment process. TCFD Alignment Issue a public
partial tender offer of the business under Chapter 5 of the SEC Notification No. ThorJor. 12/2554. 1 In case of shares, regardless of class or issue, the total number of outstanding securities = ordinary