hearing on proposed revision to supervision of digital asset custodial wallet providers Pursuant to the Ministerial Notification concerning Approval for Undertaking of Digital Asset Businesses, effective
, fraud or embezzlement and wrongful use of the clients? assets in violation of Clause 14(1) of the SEC Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated 14
various securities businesses which shall be subject to only one notification specifying rules of approval for investor contacts and standards of conduct. By virtue of: (1) Clause 10 of the Notification of
capital market business personnel for 6 months, effective from June 27, 2015. *Clause 11(6) of the SEC Office Notification No. SorKhor.15/2548 Re: Approval of Investor Contacts and Standards of
approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index, securities index or any other variables as specified in the notification of the SEC with the
channel anytime. {A}'s actions were deemed non-compliance with investor contact's standards of conduct of Clause 14(7) of the SEC Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and
Thian, Bangkok 10150 Tel. 02-897-8888, 02-897-8800 Fax. 02-897-8890 JSP 140/2561(OOP) December 14, 2018 Subject Notification the approval of Board of Director : Connected transaction, Appointment of
own and others and thus interfered with client's assets. The actions of the two former investor contacts were in violation of Clause 14(1) and 14(2) of the SEC Notification No. SorKhor 49/2552 Re
specified in the notification of the SEC with the approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index https://www.sec.or.th/TH/Documents