) Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 1/2554 Re: Verification and Announcement of Qualified Units of Foreign ETF and Application for Allotment of Foreign ETF Units

. Our suggestion for prevention of future occurrences is to jointly consider establishing accuracy verification mechanisms that can enhance confidence in the financial reporting, including a

of clients? assets: deficiency of the verification process created risk of  damaging client assets. It was found that during August 2014 to March 2015 many clients asked the company to add another

consequently affect confidence in securities business and the capital market at large;      (2) Custody of clients? assets: deficiency of the verification process created risk of damaging client assets. It was

director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for

general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for undertaking 2

securities trading center by virtue of such laws and governed by government agencies or securities regulators (regulated exchange); “Allotted quota” means quota of foreign securities or derivatives investment

cautious about using services of unlicensed digital asset business operators SEC Secretary-General Ruenvadee Suwanmongkol said: “ Digital asset businesses are regulated under the Emergency Decree on Digital

regulated under the Emergency Decree on Digital Asset Businesses. Only providers who have obtained relevant https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9157 SEC unveils digital asset business

Secretary-General Ruenvadee Suwanmongkol said: “ Digital asset businesses are regulated under the Emergency Decree on Digital Asset Businesses. Only providers who have obtained relevant https://www.sec.or.th