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
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
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
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
Thai ESG funds. The initiative is expected to raise the public awareness of long-term savings to promote financial wellness and drive Thailand towards sustainable development. For more details
AOP role in providing relevant knowledge to PVD fund committees and members through training courses and various activities designed to raise the awareness of their rights, roles and responsibilities
sell tap water to the PWA Panatkikom Branch at the investment value of 237 million baht. To raise fund for this investment, UREKA will raise capital through a rights offering of common shares and seek
of Thailand Information Security Association Committee who shared with the participants to raise awareness on technology risk for their proper preparation.The SEC has promoted the importance of three
) 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