securities investment consultants, had committed wrongful acts against clients at various branch offices as follows:                  (1)  In the case of Miss Surasa Mungthaworn, it was found that she had

Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order

and social development, the issuer must comply with an internationally recognized standard. For example: (a) Green Bond : ASEAN Green Bond Standards (ASEAN GBS) or International Capital Market

channel as a tool to evade or contravene the governing law and regulations (regulatory arbitrage) on the undertaking of investment management business,* which prescribe stricter supervision. For example, it

complies with appropriate security measures, for example, ISO27001 standards or NIST, etc. In case of any cross-border data transfer to another country, international organizations, or recipients abroad, the

in name(s) of ALL representive(s)] phanchul Typewriter [Indicate the Legal Entity type, at least one] phanchul Typewriter [In case of Non-Resident Legal Entity, select this type and fill some more

finalizing the governing regulations.  Remark:* This covers the use of the same coin for maintaining NC, the revision to the definition of insurance policy, and the proceedings in case of failure to meet the

goods and services to avert potential impacts on the country’s financial system stability and the overall economy as well as potential risks toward the public and business sectors. For example, risk on

, for example, in case of loss of clients’ assets. SEC Secretary-General Ruenvadee Suwanmongkol said: “Technology is key to digital asset business operations. The SEC thus gives a special emphasis on

example, equity, debt securities, mutual funds or derivatives. Investors may also use the information set filled in the single form to open more investment accounts with other service providers. Currently