principles for supervising DA custodial wallet providers. In this regard, on 10 November 2022, the SEC Board Meeting No. 15/2565 passed a resolution approving the proposed revision to the principles whereby an

actions.________________________ Remark: * SEC News No. 86/2023 released on 29 May 2023 with the headline, “SEC imposes civil sanctions on six offenders for disclosing and exploiting

efficiency of fund establishment. The waiver may be granted if there is no effect on Thai investors and without conflict with host jurisdiction regulations on investor protection, such as determination of

number of clients? securities trading orders.  Such actions were in violation of Clauses 23(1) and 23(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on

Clause 23(2) and having prohibited characteristics of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel

breach of duty is found.  The above unprofessional acts were in violation of Clause 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of

characteristics for managing a public company limited under Clause 3 in conjunction with 4(3) of the Notification of the Securities and Exchange Commission No. KorChor. 8/2553 Re: Determination of Untrustworthy

statements (see SEC News Release No.93/2009).Thus, the SEC revoked the approval for Somchai?s status of an approved auditor in the capital market and will not consider his application for approval for two

by half to 18-month imprisonment (More details in SEC Release No. 6/2003 dated February 24, 2003). # # #  

and Clause 4(3) of the Notification of the Securities and Exchange Commission No. Kor Jor 8/2553 Re: Determination of the Untrusthworthy Characteristics of Company Directors and Executives dated 23