appropriate and sufficient personnel, communication system, customer service system, and internal supervision system, and these systems must be compatible with the additional technology apart from the
, and appropriate internal supervision system. Moreover, the systems must be compatible with the additional technology apart from the regulations in standard criteria for conducting business. The
additional client information; - The provision of services relating to investment analysis and consultancy so as to specify the plan for investment allocation for clients by distributing investments in
SRI Funds and bonds.* Additional details for SRI Fund include investment policy, investment unit value, net asset value, dividend policy, fund fees and past performance. The information is available
, of the net asset value (NAV). SEC Secretary-General Ruenvadee Suwanmongkol said: “BOT and SEC have introduced these additional measures to boost liquidity of daily fixed income funds. Already the
SEC plans to issue additional requirements relating to the structure of the Board of Directors and Management of IPO companies and listed companies to the current regulations on the check and
reliably estimate the additional liabilities.As JAS has not recognized any liabilities, its financial statements were not in compliance with the generally accepted accounting standards. The SEC thus
to make a comparison of home and Thai laws on shareholder protection, in materiality. In case where the comparison is not feasible, the companies must provide additional shareholder protection measures
investment exceeding 100% of NAV will be classified as high risk products and subject to additional regulations to mitigate risk of misselling; for instance, description of the worst case scenario for
services.This is an additional requirement, aside from the Know Your Client (KYC) process, to be imposed on non-residents so that the UBOs will be acknowledged. In the meantime, local custodians of bonds