. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ------------------------- Notification of the
action as the SEC Office deems appropriate. If any event under the first paragraph occurs and there is an urgent need to protect or alleviate potential damage or if the derivatives business operator fails
test to make sure that the clients understand their own risk profile and receive appropriate investment advice before making an investment or a transaction. Clear and comprehensive disclosure of
system (KYC) that are appropriate to evaluate product risks against characteristics of each customer; - separate departments or personnel responsible for customer assets safekeeping from other operational
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Examinations Fundamental Knowledge Related Rules and Appropriate Investment Advisory Knowledge on Non-complex Capital Market Products Person approved or registered to perform duties in the same manner as ASEAN
ultimate responsibility over the system of quality management (SOQM) functions within the firm? B3 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how
Electronic Transactions Development Agency (ETDA). More than 160 delegates from 53 organizations or 77 percent of the total number of the regulated entities participated in the drill during 17-19 October 2017
appropriate to ensure the companies? long-term sustainable value creation.As the CG Code is in effect, the SEC is proposing amendment to the principles and relevant rules on information disclosure through the