comply with the rules, conditions and procedures prescribed and notified by the SEC Office. Clause 9 The applicant may submit information or documents in either Thai or English to the SEC Office to apply
that there is or was [I] a demeanor of [i] disclosing or distributing information or document which is false and may be misleading or [ii] concealing material facts which should be informed clearly and
structure in compliance with the rules or conditions for approval under this Notification but certain facts lead to the consideration that the true intention or the substance of the offer for sale of the debt
market product and could access information on investment by virtue of performing such duty, regardless by whichever name of position of such person is called; 5 Amended by the Notification of the Capital
information similar to that submitted to investor or home regulator by such person as required by law or regulations, providing that [person responsible for undertaking of foreign collective investment scheme
” means a person who performs the duty of assisting decision making to invest or trade capital market product and could access information on investment by virtue of performing such duty, regardless by
In mid-2021, the DSI requested that the SEC further investigate the facts and evidence in a case where the SEC had filed a criminal complaint,* due to suspicious circumstances suggesting that IEC
Facts appeared to the SEC that Zipmex, a licensed digital asset exchange and broker for cryptocurrencies and digital tokens under the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018
. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well as provide appropriate and adequate information in line with