exchange license of Huobi or DSDAQ (Thailand) Co., Ltd. The SEC’s inspection on the operation of Huobi as a digital asset exchange operator during February 2021 - March 2021 detected deficiencies and
during February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9104 Ms. Hester Peirce กรรมการ ก.ล.ต
operations as mandated by law. On 8 December 2023, the company notified that it still could not meet the fund requirements. Moreover, the SEC detected the company’s lack of personnel readiness and on 1
According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, actions liable to be offenses committed by the three persons above were detected during 16
regulations to remain only those necessary and consistent with current situations. These efforts aim to strengthen business sectors’ competitiveness, and reduce operating costs of private sectors and burdens
on Private Fund Management dated 31 July 2000; (4) Notification of the Office of the Securities and Exchange Commission No. SorNor. 49/2543 Re: Rules on Protection of Conflict of Interest on Investment
: Acts that may Create Conflict of Interest on Private Fund Management dated 31 July 2000; (4) Notification of the Office of the Securities and Exchange Commission No. SorNor. 49/2543 Re: Rules on
Exchange Commission No. KorNor. 69/2547 Re: Rules, Conditions, and Procedures for Approval of the Private Fund Custodian By virtue of Section 14 of the Securities and Exchanges Act, B.E. 2535 (1992) and