SEC has regulated regarding the method of Know Your Client (“KYC”) for securities and derivatives business operators through the use of principle-based regulations due to the fact that business operators have different in sizes, target audience, and number of clients. Therefore, it depends on the business operators to find the most appropriate method to perform e-KYC as long as they follow the objectives and principles as notified.Now, SEC is seeking public comments on the guideline of ad...
Re: Particulars of Notice Calling Shareholders’ Meeting of Listed Companies to Obtain Approval for Issuance and Offer of Securities for Sale
just started construction, which is still unable to recognize revenue in this quarter. 2. Cost of construction decreases in the amount of Baht 116.40 million or 67.60% for three-month period when
ASEAN capital markets.? The foreign CRAs allowed to provide voluntary rating, though not required to obtain the investment advisory license, must meet the following criteria: -?operating credit rating
acts that may create conflict of interest to investor, in the case where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an
protect any acts that may create conflict of interest to investor, in the case where management company invest to acquire any assets for its own account (proprietary trading), management company shall
where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a
mutual funds, for instance, tax exemption on capital gain, and tax deductions for investment in long-term equity funds (LTFs). These privileges allow investors to obtain higher returns, which in turn
company assets or obtain unlawful gains for himself or other persons, causing damage to CIRKIT. The public prosecutor issued a prosecution order; however, attempt to arrest the accused failed and the