(BAAC) for a knowledge sharing session on “Data Governance.” The purpose of the visit was to study the SEC’s data governance practices, particularly the application of technologies in both governance
exempting fees for application and filing submitted during February 1, 2021 and December 31, 2023. We hope this exemption will further reduce a burden to private sector in this difficult time.”
operators and capital market business personnel, covering the following approaches: (1) cancellation of the requirement for a renewal application for approval as capital market business personnel in the
เพื่อสังคม (สวส.) ผ่าน application Zoom โดยมีวัตถุประสงค์เพื่อส่งเสริมและพัฒนาให้วิสาหกิจเพื่อสังคม (SE) มีความเข้าใจเกี่ยวกับหลักการและวิธีการในการระดมทุนผ่านตลาดทุน ซึ่งมีผู้ให้ความสนใจเข้าร่วมฟังประมาณ
moderator. The topics of the conversation were: (1) Possible approaches for promoting conversations and discussions among investors, developers, business operators and the public sector; (2) Potential risks
trading transactions had no source of orders. It was also found in the recorded conversation that {A} had been allowed by the client to make securities trading decision. He informed the client of the
SEC found from conversation records that {A} had obtained authorizations to make trading decisions for the clients. {A}'s actions are deemed in violation of Clause 20(2) and (3) of the Notification of
Page 1 of 7 Form 35 – foreign ETF Checklist for Foreign Exchange-Traded Fund (ETF) Application Form Name of foreign ETF: ________________________________________________________ Home Economy
: Clause 1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting
1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting