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
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113
Summary of Class Action under the Civil Procedure Code Tanaporn Farungsang Litigation Department The Securities and Exchange Commission, Thailand (SEC) Definition Class action is a type of civil
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company (“AMC”) to easier receive unitholders’ resolution in revision or modification of mutual fund project or management procedure Amendments Details 2.1 Imposing fiduciary duty of AMC in mutual fund
fining by the Criminal Fining Committee, and (b) criminal prosecution per the process of judgment. Most of the violations against the SEC administrated laws are processed by criminal action. 1. Criminal
the settlement procedure (SEC News No. 87/2014), but later failed to make fine payment in full as specified by the Settlement Committee. The criminal case has thus not been regarded as settled.In this
) Date (Oldest) Notification of the Securities and Exchange Commission KorNor. 1/2554 Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund http