และตลาดหลักทรัพย์ (ก.ล.ต.) จึงมีแนวคิดในการปรับปรุงเกณฑ์ KYC โดยเสนอหลักการในการทำความรู้จักลูกค้าแบบง่าย หรือ Simple KYC สำหรับผลิตภัณฑ์การลงทุนที่มีความเสี่ยงต่ำ* เช่น มีสภาพคล่องคล้ายเงินฝาก มีการ

Bangkok, February 17, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General said that ?From Monday 17 February, 2014, investors and general public can simply dial 1207 to call the SEC for information

Rules for Custody of Customer Assets and Essential Details of Custody Agreement

introduced under the revised regulations enabling the issuer to make several offers for sale of debt securities by simply filing securities? features and additional information in case of the event affecting

must not be utilized as if the business operators do not operate the business themselves.Moreover, outsourcing to non-licensees will be permissible as well. The business operators simply give the SEC

  simply notifies the SEC of the outsource activities at least 15 days in advance.  In case of outsourcing to any other person, business operator is required to seek the SEC approval and outsourcing

are allowed to outsource without seeking for the SEC approval; they simply need to notify the SEC in advance, if the outsourcees are as follows;  (i) a financial institution, (ii) a subsidiary of the

the SEC supervision can also be viewed under ?Investor Alert? banner.  In addition, any investor or general public can be of assistance by simply dialing 1207 to give information on suspicious

procedure of business operation including strategic, manufacturing and marketing plans, which is certainly not simply making donation. Last but definitely not least, ?anti-corruption in practice? must be

securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security