accurate, complete, and up-to-date documentation by DA operators, including the safekeeping of client assets and the transactions of investment management. The proposed amendments would provide the SEC

records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC

accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts

channels to investors in both primary and secondary markets. The SEC is therefore conducting this public hearing on the proposed principle and draft amendments to the ministerial regulations and relevant

significant effects. In addition, the proposed amendments to the IPO regulations above shall apply to both Thai and foreign companies seeking a primary listing* and a secondary listing.**The consultation paper

. ได้ชี้แจงให้สมาคมทราบถึงความคืบหน้าในการพัฒนาผลิตภัณฑ์ทางการเงินใหม่ ได้แก่ การเสนอขายหลักทรัพย์ของบริษัทต่างประเทศเพื่อจดทะเบียนในตลาดหลักทรัพย์แห่งประเทศไทยเป็นแห่งแรก (primary listing) การเสนอขายหลัก

personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature

personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature

accurate information according to the facts. JKN is also required to submit the rectified financial statements that have been audited by the auditor to the SEC and simultaneously report the disclosure of

importance of disclosed information that is accurate, reliable, clear, and timely to enhance trust and confidence in the Thai capital market and attract both domestic and international investors.Mrs. Pornanong