document for an account opening including client identification, beneficial owner and controlling person. In this regard, the securities company shall consider the ability to pay debt of the client before

and/or structural characteristics; and - any information enabling investors to monitor the level of ambition of the SPTs (e.g., any update in the issuers sustainability strategy or on the related KPI

Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with

To ensure that asset management companies primarily manage funds for the investors’ benefits,  SEC has revised the regulations in order to control and monitor mutual fund management by requiring

business, which also reduces redundant identification processes.  As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be

identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect

communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management

Identification And Beneficial Ownership For The Securities Industry และ Anti-Money Laundering Guidance for Collective Investment Schemes จึงขอเปิดโอกาสให้บริษัทหลักทรัพย์และผู้ประกอบธุรกิจ http://law.sec.or.th

majority of our audit firms implemented monitoring tools such as a database tracking staff’s training hours, which could be used by the staff themselves to self-monitor as well as by the firms to monitor

performance against the SPTs as well as its related impact and timing of such impact, on the bond’s financial and/or structural characteristics; and (iii) any information enabling investors to monitor the level