intermediary shall comply with. In this regard, the intermediary shall provide services by taking into 2 account the best interests of a client, protection of client’s interests, and preventing the causes of
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
: Rules, Conditions and Procedures for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange
digital asset businesses, including those from foreign countries, as they are not under the SEC’s supervision and may pose a risk of fraud and scams. Concurrently, the SEC urges event organizers to exercise
challenges and issues. The meeting was followed by the 8th AARG Inspection Workshop on 17-18 June 2021 to exchange knowledge and experience in audit supervision undertakings among the AARG member countries and
qualifications and smart contracts by SEC-approved ICO portals; (3) There might not be enough necessary information disclosed for investors.(4) These is no business operators under SEC supervision allowed
) invites interested parties to provide their views and comments on the regulatory proposal in this document, which can be downloaded at www.sec.or.th To send your comments and suggestions, please email
/pb_ar_2004.pdf Annual Report 2003 Other Related Entities in order to Ensure Confidence of the Investing Public ● Supervision of Market Intermediaries - Securities Companies - Asset Management Companies