any record of violation of the laws or regulations of Home Economy in matters relating to the disclosure of material information to investors or Home Regulator, and have not failed to submit such

failed to submit such material information to investors or Home Regulator. Yes No If “No”, please specify __________________________________________________

providing guidelines in accordance with the aforementioned Notification, mutatis mutandis, and shall submit the following evidentiary documentation to the SEC Office: (1) an application form for offering for

Notification of the Securities and Exchange Commission No. Kor Jor. 3/2560**, as the case may be. In the event that any offender refuses to give consent to the sanctions, the SEC will submit the case in writing

Stakeholders and interested parties are welcome to submit comments and suggestions via the website or email: anons@sec.or.th or ekarit@sec.or.th until 8 February 2022.Q&A on Digital Asset Guidelines  1. How

sanction imposed by the Civil Sanction Committee, the SEC will submit the cases for the public attorney to file a lawsuit with the Civil Court. The objectives of the lawsuit are to (1) impose a civil penalty

interested parties are invited to review the consultation paper and submit comments through the SEC website or by email to: chavisa@sec.or.th, thanunya@sec.or.th, pattarav@sec.or.th, nut@sec.or.th, or thapanee

fairly. The investment advisory company shall submit an application for approval to the Office together with the document evidences as prescribed by the Office. The Office shall finish the consideration of

office] from the work units and personnel responsible for post-trade operation [back office], and shall arrange for the personnel responsible for securities trading to submit a report on securities trading

responsible for post-trade operation [back office], and shall arrange for the personnel responsible for securities trading to submit a report on securities trading to the work unit responsible for post-trade