Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and the management team convened a meeting with Mr. Chanin Vongkusolkit, TLCA Chairman, and the board members to discuss collaboration in developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from investors and have their securities listed on the Stock Exchange of Thailand (SET), while growing su...
Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
gather information on name, last name, nationality, occupation, residential address, contacting address, name of ultimate beneficial owner, name of ultimate controlling person, name of the entity
) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must gather information on name, last
), the securities company must gather information on name, last name, nationality, occupation, residential address, contacting address, name of ultimate beneficial owner, name of ultimate controlling
developing existing software to accommodate digital asset trading surveillance, detect anomalies, identify demeanors and gather and prove evidence, and to promote the use of class action and establish an
-compliant free float by posting C and SP signs instead of charging fees Add volume alerts during auction SEC, SET and ASCO co-established Securities Bureau to gather information on the trading limits granted