notification which has been revised according to comments from the business operators and related persons from the public hearing in May, for example: - The operation system shall have in place a client
นางพรอนงค์ บุษราตระกูล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) พร้อมคณะผู้บริหาร ให้การต้อนรับ Mr. Paul Moody Global Partnerships and Client Solutions, CFA Institute
month, respectively, starting from December 25, 2015. The SEC?s further inspection has revealed several defective core work systems of AEC, especially the Know-Your-Customer/Customer Due Diligence: KYC
operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as
control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as well as
debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or securities dealing: (1) commercial banks; (2
undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or
investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not