-Your-Customer/Customer Due Diligence: KYC/CDD system, causing the company to be fined by the Settlement Committee at the amount of 1,101,000 baht. Moreover, the SEC has suspended approval of two AEC

investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of Nattapon Chalermpot and

that only the original Thai text has legal force and that this English trans submit information and documents evidence as per the form and procedures provided in the Office’s electronic work system, and

) acceptance of reports via electronic system instead of hardcopy submission, (2) discontinuation of reports to the https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9132 ’ digital assets under BX’s control

seek for the approval. Crowdfunding portals must be established with an efficient IT system in accordance with  SEC’s rules and guidelines associated with establishment of IT system***, aiming to

Exchange Clause 2 A derivatives trading system on derivatives exchanges is a fundamental system which has connection to the clearing and settlement system of derivatives clearing houses and other relevant

any loss or damages arising out of or in connection with its use. Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business B.E. 2551 (as amended) By the virtue of

derivatives trading activities after having accessed the EY information system which contained clients’ audited, but yet to be disclosed, draft financial statements under responsibility of the audit group under

providers must obtain approval from SEC, have a system in rendering the integrated service and provide services in accordance with the required standards;3.     The wealth advice service providers must

requirements.  In addition, listed companies may submit the reports through the Stock Exchange of Thailand (SET)'s electronic system while the original may be filed with the SEC later. (3) Investor contacts