., Ltd. (ThaiWM / website: thaiwm.com).In addition, SEC is reviewing information of two other digital asset business operators that have applied for operating licenses, in conformity with the
Fund 75/25 (BLTF75/25) after only verifying the client?s name and the number of units to be redeemed without reviewing the client?s account statement nor calling for the client?s close attention to the
provide a system for recording, examining and reviewing the clients’ information so as to ensure that such information is correct complete and current throughout the period of derivatives trading. Clause 10
provide a system for recording, examining and reviewing the clients’ information so as to ensure that such information is correct complete and current throughout the period of derivatives trading. 1 Amended
raising funds, investor warnings through various trading signals, as well as increasing stringency in the securities delisting, and reviewing rules and procedures for considering backdoor listing and
suggestions on the website or via email: corporat@sec.or.th. The public hearing ends on 26 July 2023. ________________________Remarks: *Regulatory Guillotine is the process of reviewing and eliminating or
, while reviewing the existing regulations to be in line with the current situations and remain as necessary for more convenience, less business-sector costs, lower burden on people and compliance with the
and continuous audit work for listed companies in compliance with stricter professional standards. The SEC is therefore reviewing related regulations* and proposing the requirement of a minimum of
advisor supervisors failed to exercise due care in reviewing the information thoroughly which may mislead investors into believing the company continued to expand the business capable of generating