for Q1/2017 to the SEC and the SET. This case is in the process of inquiry by the inquiry official. SEC Act S.300 in conjunction with 199 and 56(1) Criminal Complaint Filed with an Inquiry Official

and derivatives before the execution of Mr. Komen’s order for the mutual fund was completed. This case is in the process of inquiry by the inquiry official. SEC Act S.244/2 in conjunction with 244/1

ปฏิบัติในการขายและให้บริการด้านผลิตภัณฑ์หน่วยลงทุนและตราสารหนี้ 3. แบบลงนามรับทราบความเสี่ยง      หลักการและเหตุผล ปรับปรุงหลักเกณฑ์เกี่ยวกับประเภทคนขายและ sales process ของผลิตภัณฑ์ในตลาดทุน โดยกำหนดประเภท

by conducting the process of Know Your Client (KYC) so that they can provide appropriate services. Nowadays, an electronic KYC or e-KYC has been introduced to make KYC processes faster and become

process is in line with the Capital Market Development Plan in the area of building competitiveness and business sustainability. It is expected to reduce the volume of paper use of the business sector by

Essentially, the amendments would apply to digital asset business operators, i.e., exchanges, brokers and dealers, and cover the licensing process, from change to the fee payment time frame to

Measures for preventing conflicts of interest are an important part of the SEC policy especially in the process of securities issuance and offering, which involves participation of key

inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm

performed by engagement personnel meets applicable standards, regulatory requirements, and the firm’s standard of quality. Engagement performance encompasses all phases of design and execution of the

laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC