to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty of 666,666.66 Baht SEC Act (before the fifth
disclosed to the public. 09/01/2026 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary penalty of 333,333.33
; - a compensation of the benefit received from committing the offense in an amount of 450,000.00 Baht - a civil monetary penalty of 517,500.00 Baht
November in Singapore. The SEC engaged in various meetings and seminars, including discussions with representatives from the Monetary Authority of Singapore (MAS) to exchange knowledge, experiences, and
Foreign Currency 17/01/2017 16/02/2017 2. Notification of the Office of the Securities and Exchange Commission SorOr. 6/2557 Verification of Foreign Collective Investment Scheme and Announcement of
public by such securities companies and derivatives broker. In this regard, the SEC Thailand assumes no responsibility for verification, examination or certification of completeness, accuracy and update of
NAV of PVD : Requiring the custodians responsible for safeguarding the assets of PVD to additionally establish an adequate system for NAV verification and verify the NAV of the PVD. Additionally, the
of due diligence and know-your-client assessments (DD/KYC), (3) supporting electronic non-face-to-face identity verification, and (4) allowing businesses to access anonymized data under possession of
-your-client and due diligence, custody of clients? assets and transaction verification to ensure that client services are efficient and to prevent exploitation of securities firms for improper gains