capital market product having high-risk or complex characteristics; “general manager” means a person who is assigned by the board of directors to be the highest level responsible person in the management of
intensity of the procedures mentioned in Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis). Clause 11 . Securities
Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis). Clause 11. Securities companies shall not allow the use of
previously obtained. In this regard, the frequency in reviewing shall depend on the level of client’s risk; (2) review client’s existing records and gather further information, if it is found that or there is
Reform Priorities in Asia: Taking Corporate Governance to a Higher Level Taking Corporate Governance to a Higher Level reform priorities in Asia 2011 REFORM PRIORITIES IN ASIA: TAKING CORPORATE
In this Notification: The terms “credit rating”, “bill”, “short-term bill”, “registration statement”, “listed company”, “parent company”, “subsidiary”, “executive”, “controlling person”, “high net
Mr. Wiboon Phatrapiboon obtained a bachelor’s degree in engineering from Kasetsart University and a master’s degree in Science from Chieng Mai University. Prior to joining the SEC, he was Deputy
Vorakit Construction Company Limited Vorakit Construction Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office
Lederer (Thailand) Company Limited Lederer (Thailand) Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office
Marnfah Group Company Limited Marnfah Group Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S