and combat mule accounts and investment scams, as outlined below.         1. Strengthening Know Your Customer (KYC) and Customer Due Diligence (CDD) for Securities Companies: The SEC will enhance

obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for

Office of the Securities and Exchange Commission No. SorChor. 29/2555 Re: Rules, Conditions and Procedures for the Approval of REIT Manager and Standard Conduct ___________________________________ With

Market Supervisory Board No. TorJor. 16/2552 Re: Rules, Conditions, and Procedures for Application for and Approval of Offer for Sale of Newly Issued Bonds to Investors in Foreign Countries By virtue of

. Work Areas Personal Data Contact Information Sensitive Data Qualification data Financial Data Verification Data 1. Information from the approval for the offer for sale and report of the results of the

SEC has taken into account those strategic directions in the organization’s current Strategic Plan (2023-2025), endeavoring to enhance capital market opportunities and resiliency in response to the

requirements to emphasize the importance of corporate governance practices and corporate social responsibility and the disclosure thereof. The SEC also supports training to enhance knowledge and experiences of

, protection of investors? rights, and/or good governance, and (3) granting the SET Board of Governors the power to allow trading access to non-members of SET, which would enhance SET to have flexibility in its

Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010)   01/02

Intermediary   03/06/2014 01/07/2014 7. Notification of the Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director and Executive of