followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply https://publish.sec.or.th/nrs/8264p.doc 6564p.doc
foreign securities companies, as clients of Thai securities companies, comply appropriately with the regulations related to short selling and long selling transactions*.The Capital Market Supervisory Board
in line with similar measures imposed on real estate-backed tokens; 3. ICO advertisement: ICO advertisements are required to comply with additional regulations. The advertisements must refrain
consideration the benefits of customers and stakeholders. Additionally, the current DA operators will be required to comply within 180 days from the effective date of the regulations; (2) Qualifications of
is compulsory to obtain an investment management business license, establish the readiness of work systems and personnel and comply with the investment policy disclosed in the mutual fund schemes and
executive at any securities issuing company and securities company for 12 months each. The banning period shall begin from the date when each offender signs the letter of consent to comply with the civil
consent to comply with the civil sanction. In case any of the offenders refuses to comply with the civil sanction imposed by the Civil Sanction Committee, SEC will submit the case for the public
understanding and acknowledgement.In any case, failure to comply with the SEC's order above is liable to violation or failure to comply with Section 58(1) of the Securities and Exchange Act B.E. 2535 (1992)(SEA
investor contact for one month, starting from August 10, 2011 and reprimands {B} and {C} on their actions and records their misconducts for reference in case they do not comply with the standards of conduct
to take trading orders from a person who was not the account's owners and did not supervise subordinates to comply with regulations. The SEC, therefore, suspended {C} from his investor contact status