Delivery of Notifications and Clarification Notes
Investment in Unit of Real Estate Investment Trust
Guidelines Regarding Roles and Expectations of Directors of Securities Companies and Derivatives Business Operators
Clarification on Short Selling and Settlement of Securities for Management of Market Maker’s Risks Borne by Securities Companies and Management of Clients’ Assets In case of Internal Short.
Submission of Daily Status Report
Delivery of copies of notifications and clarificatory notes to the cross-border offering of funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its clien...
EASTSPRING ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Feeder Fund | Offering Date : 30/03/2022 - 07/04/2022
Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism