/News_Detail.aspx?SECID=7877 SEC public hearing on draft regulations regarding information disclosure and risk warnings to clients of digital asset business operators warnings regarding client asset keeping on their
efficiency and security 3. Having a complete process of client contact and services in the five steps as follows: 1) exploring and understanding customers 2) constructing an
client’s investment decision. She also gave inaccurate information related to the fund’s net asset value (NAV), redemption price and offer price to the client; (3) In the case of {C https://www.sec.or.th
remained unchanged at 20%. In 2013, the SEC performed the firm-level reviews for the total of 8 audit firms, as planned, and observed significant improvements in most aspects, especially in client acceptance
leaders make careful resource allocation such that the factor of human resources is considered during client acceptance stage to ensure sufficient resources and appropriate assignments of audit works to
. Besides, the appointment of Mahachai Group as distributor for products causing the company to not have to worry about selling because Mahachai Group can ensure that the production will be able to sell. When
; (15) any other person specified by the Bank of Thailand as having a permission to invest in outbound products , as prescribed by the SEC Office. Clause 14 3 In providing services to a client who is a
specified by the Bank of Thailand as having a permission to invest in outbound products, as prescribed by the SEC Office. 7 Clause 143 In providing services to a client who is a juristic person incorporated
specified by the Bank of Thailand as having a permission to invest in outbound products, as prescribed by the SEC Office. 7 Clause 143 In providing services to a client who is a juristic person incorporated
ยวกับผลิตภัณฑ์ ในตลำดทุนที่เป็นหน่วยลงทุนและตรำสำรหน้ี ลงวันที่ 9 กุมภำพันธ์ พ.ศ. 2560 -5- ในกำรติดตำมและตรวจสอบกำรท ำหน้ำที่ของตัวกลำง เช่น บริษัทจัดกำรจะไม่สำมำรถ call back client ได้ เป็นต้น ควำม