inside information through his securities trading accounts. 03/08/2023 referred the case to a state attorney for filing a lawsuit to a civil court currently under the state attorney process
increase in the investments according to the additional paid up in the capital of GPSC’s associate, Xayaburi Power company Limited (XPCL), which is in the process of constructing a hydro power plant in Lao
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
uncertainty concerning entity’s ability to continue as a going concern (paragraph........); ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or regulatory action (paragraph
uncertainty relating to the future outcome of exceptional litigation or regulatory action (paragraph........); ฆ 5.3 A major catastrophe that has had, or continues to have, a significant effect on the entity’s