believes that this Statement of Intent will aid the public and all capital market stakeholders to understand the SEC’s role and operations, and promote confident participants of the capital market. 2. Vision
business operators to understand and acknowledge all information, both personal and non-personal, they hold, and utilize it for their maximum benefits in line with such act. These suggestions will also
) information according to sub clause (a) and (b) arranged in form which the client would be able to understand correctly and without being mistaken; (4) the advertisement shall have appropriate caution regarding
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...
.; (2) Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1) before approving an account opening to ensure that
to our 2021 target of US$287M (US$195M extra efficiency gains over 2020) Overview This time last year the world was just beginning to comprehend the unprecedented nature of COVID-19 and the
to understand the risks of bonds and up-to-date information before their investment, as well as to make information become easier to access. Therefore, SEC has improved the supervision guideline on
foreign exchange rate exposure must be fully hedged; 2. In the case that the mutual fund has the policy for distribution of return payment, the return payment must be straight forward and easy to understand