investigative expenses. Regarding auditor oversight, the SEC will keep the record of the misconduct of Warot, Jeeranan and Jeeraporn for 10 years for future consideration if the three offenders apply for approval
activities regarding securities cases with judicial organizations to enhance enforcement efficiency and expects more progress on this area. We are also improving disclosure of web-based information and expect
SEC has opened a public hearing on the principles regarding the establishment and regulatory framework for crypto ETFs in Thailand. The consultation paper is available on the SEC website (www.sec.or.th
, compliance and information management, including the readiness of personnel; (4) having the result of the evaluation by the SEC Office regarding the management of the operational risk and the customer
system relating to operational management, compliance and information management, including the readiness of personnel; (4) having the result of the evaluation by the SEC Office regarding the management of
specific information regarding work place location, time period of work, position, scope of work and responsibility, and proportion of time working for asset custody function to the total time of working
related to the profession. The qualifications will be considered from the personnel’s: □(2.1) First name, last name, and education; □(2.2) Work experiences, given with specific information regarding work
derivatives agent” means the person who contacts, solicits or gives advices regarding trading in derivatives or analysis of value or properness of trading in derivatives products or underlying products for