The Securities and Exchange Commission (SEC), represented by Ms. Nopnuanparn Pavasant, Assistant Secretary-General, Ms. Cholthida Phakdeethai, Director of the Digital Asset Supervision Department
intermediary ; “ executive ” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
necessity prior to the end of such period of time. Clause 4. In the case where there appears later a change of any material information provided in the application filed with the Office, the securities
later a change of any material information provided in the application filed with the Office, the securities company shall notify the Office within fourteen days from the date of the change of such
necessary. Clause 4. In addition to the material information of the contract that should be identified as agreed upon by counterparties, the securities registrar shall include the following contents in the