of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours
Foreign Currency 17/01/2017 16/02/2017 2. Notification of the Office of the Securities and Exchange Commission  SorOr. 6/2557 Verification of Foreign Collective Investment Scheme and Announcement of
public by such securities companies and derivatives broker. In this regard, the SEC Thailand assumes no responsibility for verification, examination or certification of completeness, accuracy and update of
Deputy Secretary-General Tipsuda Thavaramara said: ?Making an electronic transaction and applying FinTech to business operation are still a challenge in Thailand mostly because the governing laws are
-your-client and due diligence, custody of clients? assets and transaction verification to ensure that client services are efficient and to prevent exploitation of securities firms for improper gains
level of transparency, requiring that the post issuance verification of the issuer’s performance against these targets be made publicly available. This can consequently expose the issuer’s strategy, goal
auditor: (a) operation associated with the policy in Clause 5 (1) (2) and (3); (b) reporting on compliance in Clause 6 (4). (2) conduct control self-assessment to measure the effectiveness of the operating
: (a) operation associated with the policy in Clause 5 (1) (2) and (3); (b) reporting on compliance in Clause 6 (4). (2) conduct control self-assessment to measure the effectiveness of the operating
an electronic transaction and applying FinTech to business operation are still a challenge in Thailand mostly because the governing laws are inconsistent with the ever-advancing technologies and do not
/ regulatory action 5. Advertising, raising customer awareness • One state regulator describes their role as making advisors reveal their “verification of misconduct” (costly verification) • Conditional on a