obtaining client consent in cases where the business operator is unable to maintain net capital, in case of a transfer ordered by virtue of other laws and a transfer when the business operator intends to

of the Department of Special Investigation, the Governor of the Bank of Thailand and the Secretary-General of the SEC. With consent of the Civil Penalty Committee to commence the civil penalty

and the joint commission of, or consent to, the making of false entries in the accounting records and documents of STARK and its subsidiaries. The SEC therefore considered that the actions of Mr

Streamlined Authorization Framework for Cross-Border Public Offerings of ASEAN Collective Investment Schemes; (b) In the case of investment units of a fund which focuses on investment involving foreign risks

provision of services by the Stock Exchange of Thailand and a securities trading center not participating in the regulatory sandbox , and that the service user’s consent is required prior to provision of such

conditions different from the provision of services by the Stock Exchange of Thailand and a securities trading center not participating in the regulatory sandbox, and that the service user’s consent is

operator in the same manner not participating in the regulatory sandbox , and that the service user’s consent is required prior to provision of services; (4) making an agreement with the service user related

participating in the regulatory sandbox, and that the service user’s consent is required prior to provision of services; (4) making an agreement with the service user related to obligations to damage that may be

ให้ผู้ใช้บริกำร Consent ในกำรส่งข้อมูลส่วน บุคคลมำให้ส ำนักงำนด้วย หำกผู้ใช้บริกำรไม่ยินยอม Consent ผู้ประกอบธุรกิจจะไม่ ให้บริกำรแก่ผู้ใช้บริกำรรำยดังกล่ำว   ข้อเสนอแนะ หรือข้อสังเกตเพ่ิมเติม กรุณำ

sanctions imposed by the CSC will take effect once offenders sign a letter of consent, agreeing to comply with the sanctions. If any offenders refuse to consent, the SEC will submit the cases in writing to