Bangkok, May 10, 2010 ? The SEC has ordered ING Funds (Thailand) Company Limited (ING Funds) and Siam City Bank Public Company Limited (SCIB), the fund supervisor of T.U. Dome Residential Complex Property Fund (TU-PF) under ING Funds management, to rectify deficiencies in their internal control immediately. SCIB is also ordered to file a claim against ING Funds for compensation for the benefit of TU-PF unitholders.  The SEC?s additional investigation into ING Funds? operation in response to comp...

The SEC made amendments to the regulations governing the reporting of the IPO shares results, aiming to enhance investor access into critical information and be useful for investors’ decision-making (disclosure-based) for timely information disclosure without imposing an undue burden on the issuer. The amended regulations are summarized in the following details.  1. In addition to the existing requirements for reporting the IPO shares results (Form 81-1-IPO), the issuer shall submit a supplement...

The SEC Strategic Plan 2024–2026 prioritizes the strengthening of Thai capital market trust and highlighting the critical significance of investor confidence in cultivating a robust capital market that serves as  a channel for fundraising of businesses and investment for investors. Ultimately, the goal is to achieve sustainable development, reduce inequalities. Recognizing the importance of complete, transparent, and timely IPO information for investors’ informed decision-making, the SEC aims to...

* and Form 56*. These rules have caused an unreasonable burden on these companies. SEC therefore plans to improve these rules to facilitate holding companies, which engage in various types of business

As part of continuing efforts to support market confidence and business integrity, the OECD has launched in Asia a new set of corporate governance principles that were endorsed at the G20 Finance Ministers meeting in September 2015. The G20/OECD Principles of Corporate Governance provide recommendations for national policymakers on key corporate governance issues, such as shareholder rights, executive remuneration, financial disclosure, the behaviour of institutional investors, boardroom practic...

requirement in the identification and verification process for the onboarding clients who already have relationship managers elsewhere outside the premise or the clients who have a life-time ID card without

NDID มีเวลาในการทดสอบและพัฒนาระบบที่เพียงพอ ก.ล.ต. จึงเห็นควรขยายเวลาของการมีผลใช้บังคับออกไปอีก 1 ปี เป็นวันที่ 1 ม.ค. 2564 นอกจากนี้ เพื่อยกระดับมาตรฐานการยืนยันตัวตน (Authentication) สำหรับการทำ

หน้า 1. ความหมายของ KYC และ ECOSYSTEM 5 2. แนวปฏิบัติในการน าเทคโนโลยีมาใช้ในการท าความรู้จักลูกค้า 19 2.1 กำรพิสูจน์ตัวตน (Identity proofing) 2.2 กำรยืนยันตัวตน (Authentication) 2.3 กำรท ำควำมรู้จักลูก

levels to ensure that they are in line with our risk appetite.  Internal Audit is independent and responsible for evaluation to add value and improve the effectiveness of risk management, internal control