. Notification of the Securities and Exchange Commission Kor.Dor. 17/2539 Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar (Codefied
license and evidence on renewal of such license; (11) Copy of Identification Card; (12) Copy of the Shareholders Name List (Form Bor. Or. Jor. 5). In this regard, I confirm my willingness to provide
without a license. As a result, DA business operators are prohibited from depositing their clients' assets with this company. In addition, the SEC has previously submitted information about unlicensed
: “SEC files a criminal complaint against Binance for operating digital asset business without license,” released on 2 July 2021: https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9017
exempted from the securities business license in the category of private fund management and the derivatives business license in the category of derivatives fund management because they are incidental to
execution.The draft rules would grant a waiver of private fund license and derivatives fund manager license for both services above which would be considered incidental to brokerage. However, the intermediaries
royal decree came into force. SEADEX applied for an operating license before 14 August 2018 and that allowed SEADEX to continue its business operation according to the transitional provisions.SEC is in