limit, including the procedures for verifying information on the percentage of unit holding by such person or group of persons; (8) Other facts necessary for making a decision to invest in the investment
law on concerning agricultural futures trading; (18) international financial institution; (19) Deposit Protection Agency; (20) Stock Exchange of Thailand; (21) juristic person in the category of
person. [ ] Yes [ ] No (3) I have been denounced by the SEC Office or have been tried in any criminal proceedings resulted from denunciation by the SEC Office or was imprisoned by the court’s final
irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of
in order to oversee a juristic person or business over which one has the management power or operates under one’s supervision. The acts of the three persons stated above constitutes a failure to
: .................................................................................................... Sharing resources with the Head Office 6. In case of establishing an online office: 6.1 Name of the responsible person for online operation:........................................................ 6.2 The
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
customers' digital assets in digital wallets http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 3/2023 Dated 21/06/2023 assets in accordance with the notification of the SEC for