และตลาดหลักทรัพย์ (ก.ล.ต.) จึงมีแนวคิดในการปรับปรุงเกณฑ์ KYC โดยเสนอหลักการในการทำความรู้จักลูกค้าแบบง่าย หรือ Simple KYC สำหรับผลิตภัณฑ์การลงทุนที่มีความเสี่ยงต่ำ* เช่น มีสภาพคล่องคล้ายเงินฝาก มีการ
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged such orders, paid the subscription money and accepted redemption money without making any objection. The total accumulated trading value was more than 800 million baht. The misconduct above led to the consideration that {A} failed to perform his duties responsibly with professional due care when he acc...
According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading execution program. She also transferred her own money into the client’s trading account as a collater...
needs and size of its business; (2) “fundraising tools” to make ones know and understand fundraisings in different forms and channels through an easy and simple presentation and have clear pictures
the criteria in order to keep it current. Consideration is given to the fact that the rates of fee should be equivalent, simple, and appropriate for the capital market environment , for example
vote of the unitholders who have attended the meeting and have the voting right. For PE Trusts, such resolutions must be approved by a simple majority of unitholders with voting rights (not counting
regulation would prohibit digital asset business operators from: (1) Accepting deposits of digital assets from the customers and lending, investing, staking or employing such digital assets; (2) Accepting
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานเสวนาออนไลน์ในหัวข้อ “Easy listening: เกร็ดความรู้ด้านบัญชี ที่ AC ไม่ควรพลาด EP.2” เพื่อเสริมความรู้ความเข้าใจให้กรรมการตรวจสอบ
Facebook account was a BX channel for accepting fund or digital asset transfers. SEC is therefore urging BX clients to exercise utmost discretion if approached by such deceitful websites or Facebook
related to trading, depositing and withdrawing digital assets. Meanwhile, the company may consider accepting new clients as deemed appropriate and sufficient by taking into account the characteristics, size