) ordering the intermediary , who has breached or failed to comply with this Notification or the SEC Office’s Notifications issued by virtue of this Notification, to [i] amend or refrain to act or [ii] act any
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
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
-enforcement of market structure, and adoption of principle of good regulations to streamline the regulatory process so that market participants will understand the spirits and objectives of regulations. Finally
, if the Capital Market Supervisory Board has not informed the securities clearing house or central securities depository of the results of consideration or instructed it to amend the proposed rules or
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
/ customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC/CDD) (4) reporting of suspicious transactions under anti