adjusting supervision and operation in compliance with the law on digital technologies to ensure that transactions in the Thai capital market are in line with the law. We also foster creation of digital
recommended to deal with the said insufficiency; (4) Monitoring (MR): Some audit firms were found having insufficient monitoring and without action plans to monitor deficiency remediation. In this regard
: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify
The Securities and Exchange Commission (SEC), represented by Ms. Nopnuanparn Pavasant, Assistant Secretary-General, Ms. Cholthida Phakdeethai, Director of the Digital Asset Supervision Department
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Part F: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the authority
trusted and secure system within 30 days from the deadline under (1) and must report each procedural step of its action for the SEC’s information without delay. (2) By virtue of Section 35
Investor Alert Section on the SEC website for the public to check the list of business operators not under the SEC’s supervision; (2) Collaborating with the Anti-Fake News Center Thailand
.? These kinds of incidents took place repeatedly, but the company which was under his direct supervision did not conduct proper examination.?In 2014, the SEC found a similar misconduct and took legal action
strictly cautious and accountable for their own action. However, forward looking statements based on actual, not distorted facts available at the time, is permissible even though the outcomes afterward turn