, cancellation of submission of paper document or reports, and codification of rules and regulations with manuals for convenience. SEC will gradually proceed with these by the end of 2020,” Ruenvadee said.About 19
Act from stakeholders. The result of the study and the suggestions on that matter is expected to be completed in May 2020.“Then, SEC will promptly proceed with the amendment of the Securities and
.; (2) Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1) before approving an account opening to ensure that
. Calibration of Sustainability Performance Targets (SPTs) – The SPTs demonstrate a robust level of ambition, in comparison with (i) the Issuer’s ESG strategy and performance, (ii) existing international
authorized in writing from the customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in the custody of
any person authorized in writing from the customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in
customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in the custody of derivatives broker from
company shall proceed as follows: (1) The private fund which is not a provident fund shall comply with Clause 3(1), (2), (3) and (5) mutatis mutandis and the private fund management company shall report its
private fund management company shall proceed as follows: (1) The private fund which is not a provident fund shall comply with Clause 3(1), (2), (3) and (5) mutatis mutandis and the private fund management