securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of
) having a clear exit strategy in case of leaving the regulatory sandbox upon or before expiration. (5) specifying a limited scope of services to alleviate material impacts or damage on investors or the
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
them of clear and specific objectives as well as their rights, namely right to access data, right to rectification, right to restrict data processing, and right to be forgotten. 2. Proper technology must
Following a referral from the Stock Exchange of Thailand (SET) in 2022 and the SEC’s further investigation, the findings and evidence led to the belief that Mr. Saravoot Somwattana (a person with
According to the referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, facts and evidence were found leading to the belief that Worawoot, COL director and the
further investigation revealed facts and evidence supporting the belief that a group of 32 persons acted together to manipulate the price or trading volume of MORE share during the period from 18 July 2022
audit quality control of the Audit Firm, the Audit Firm is requested to provide a clear and concise details of the policies and procedures on the audit quality control, in the manner according to the
and (b) have a clear objective to share profits and costs and proportionate ownership, control or management power, have commons quality control system, business strategies, shared names or shared