In September 2025, the SEC received a total of 1,500 reports of suspicious instances and information requests from the public via the Investment Scam Hotline – almost doubled the number from August

following requirements; (1) initially acquires units of a trust not less than ten million baht; or (2) such person in (1) who acquires additional units, which results in the total value of not less than ten

Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter    Executives of securities companies and personnel in securities business |- Approval and

sasipim Typewriter (ไม่เปิดเผย) sasipim Typewriter (ไม่เปิดเผย) sasipim Typewriter (ไม่เปิดเผย) 6. 1 - 39/2553 23 2553 8 1. 2. (Governance and Leadership) 3. (Relevant Ethical Requirements) 4

Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology

The SEC has reviewed the regulations concerning the SPO shares offering and the mai/SET listing requirements for LiVEx-listed companies to better accommodate small and medium-sized enterprises and

business. This also includes requirements related to information security audits and the qualifications of the auditor who must be qualified and independent;  (3) Revising the requirements and guidelines in

to the timeframe when the SEC considers the inquired matters. Therefore, the SEC requests that the general public acknowledge this matter and beware of the limitations of such response letters. For

SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the

EARTH's requests for extension of the repayment period, which led to EARTH's lack of liquidity. Subsequently, on 2 June 2017, Mr. Phipat granted permission to a brokerage firm to sell EARTH