The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However

financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings

failure to order or act according to the duties as aresult, Between February 23, 2021 and May 25, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to maintain the net

operation of Coindee. His failure to perform the required duty of his position resulted in the offence committed by Coindee concerning the case that Coindee failed to maintain the net capital (NC) in

capacity as the bondholders’ representative, failed to maintain the required qualifications of a bondholders’ representative and neglected to notify the Securities and Exchange Commission (“SEC”) of such

evidences. Clause 3. In the capacity of an investment advisory company, the company shall maintain either collateral or liquid asset or both with adequate value as 3 As amended by the Notification of the

(SETLink) to keep investors updated.  Listed companies can submit a request for a deadline extension via email: corporat@sec.or.th or fundraisingpolicy@sec.or.th. For inquiries, please call Tel: 0-2033-9608

keep them abreast of current attack patterns and techniques, as well as to outline strategies for mitigating cyber threats, and learn methods for collecting and securing evidence related to attacks

members to keep pace with the emerging risks and challenges caused by technological advances. The Thai SEC is among the inaugural group of 23, out of 130, securities regulators that are approved to become

decision on securities and derivatives trading.The SEC and related organizations will closely cooperate and keep abreast of information with effect on investment in SET and TFEX to allow investing public to