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/CDD) (4
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 performs monitoring function? A2 Does
encourage investment analysts and fund managers to integrate ESG factors into their investment or advisory process and risk-return models. By doing so, fund managers and investment analysts will not only
Risk Management Division, Assets and Liabilities Management Sub-committee and Risk Management Committee. We are also watchful for any potential impact on our deposits and liquidity, both short- and long
) remuneration and punishment which is based primarily on service quality; (4) complete, clear and accurate sales process which must not mislead or be a nuisance to customers; (5) effective employee communications
the Office of the Securities and Exchange Commission are now in the process of issuing the notification on digital asset business operation to be consistent with these two laws. In the meantime, KBank
management company in case of redemption payment process when the insured has died by redeem investment units exceed than the time period specified in the scheme. The amount of fines does not include daily
2562 ทั้งนี้ ที่ผ่านมา ก.ล.ต. มีการปรับปรุงกฎหมายและหลักเกณฑ์ด้านตลาดทุนให้รองรับธุรกรรมไร้เอกสาร (paperless process) ซึ่งเป็นหนึ่งในมาตรการการส่งเสริมศักยภาพตลาดทุนไทยตามแผนพัฒนาตลาดทุนไทย ฉบับที่ 3 (ปี
material transactions would have sufficient time to study relevant information, participate in the consideration process, and make an informed investment decision.The consultation paper is available at
or being in the process of business readiness examination.The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments through the