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
Department of Special Investigation (DSI). The action is in accordance with the SEC Office?s standard law enforcement procedure.
services to clients. Renewal application can be submitted online via www.sec.or.th. The renewal fee is 1,070 baht (VAT included). For details on procedure and payment of fee, please visit http
handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related personnel of the policies and the practices as well as a procedure for continuous
instruments; (7) The determination of guideline for complaint acceptance and handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related
then has profit before income tax of THB 3.45 million. Progress on court’s consideration and legal enforcement of the main debtors 1.1 Media Agency Thai Co., Ltd. is a debtor in the Air Time Management