. Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
clients are able to bring a dispute into the arbitration procedures when they do not agree with complaint handling process made by securities and derivatives companies. The revision also includes abolishing
operator. Noted: Filing a criminal complaint is the commencement of the criminal process. Under the Criminal Procedure Code, after receiving the complaint, the inquiry officer will investigate the case
procedure for establishment and management of mutual funds, the SEC plans to introduce an auto approval process for plain vanilla funds, which have no complicated features such as investment in derivatives
No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
effectiveness as the one suggested by SEC.The process of KYC is an initial procedure that every business operators in the capital market need to perform in order to onboard customers in accordance with the
Picnic Corporation Public Company Limited Picnic Corporation Public Company Limited (PICNI), a securities issuer which is proceeding the rehabilitation procedure under the Bankruptcy Law and is
Customer Due Diligence : KYC/CDD procedure. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 11/2022 Settlement Committee Order No. 178/2022 Dated 11/11/2022