the issuer. Nonetheless, the issuer must maintain its qualifications and compliance with approval conditions as well as disclosure requirements all through the program; unless otherwise, the approval
requirements on qualifications of each type of licenses will also be adjusted accordingly to ensure that the salespersons will have proper knowledge of the products they offer. Additionally, to increase the
a general approval for individuals who have been ready to perform the duties of PF/DF marketing agents, (2) the relaxation of work system requirements to focus only on those essential for duty
strictly monitor and supervise their investment consultants to follow such requirements, the SEC may consider that they have inefficient compliance systems and may pursue further actions.?The trading volume
total from all Thai retail investors. Comments: 3. Minimum disclosure requirements: To tackle the problem of asymmetric information between ICO issuers and investors, and to ensure that key
rules to facilitate issuance of Green Bond, Social Bond or Sustainability Bond and provided the issuers with clearer understanding of the guidelines on the issuance and disclosure requirements, as follows
Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting Requirements |- Fees
Companies | - |- Registered Companies | - |- Know Your Clients | - |- Risk Disclosure | - |- Books & Records Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control