have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment

disclosure, a prospectus, progress reports of a project and use of proceeds. The offering of digital token must be made through ICO portals approved by SEC Board. The role of ICO portal is to perform due

approved, SEC will begin assessing digital token offer of ICO issuers.ICO issuers must be companies established under the Thai legal jurisdiction, with clear business plan and clear rights for digital

/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC therefore suspended {A} from his duty as the approved securities investment consultant for 3

Bangkok, February 6, 2012 ? The SEC Board has approved a draft revision to the regulation governing investment advisory business to allow foreign credit rating agencies (CRA) to disseminate voluntary

) of the Notification on Standard Conduct of Business shall include the following characteristics and shall comply with the Notifications of the Associations approved by the SEC Office: (1) supervising

Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other businesses as approved

businesses as approved by the Office of the Securities and Exchange Commission (if any); □ has operated its business for more than 3 years; □ has operated its business for less than 3 years. Shareholder of an

Associations, which are approved by the Office; (8) “Office” means the Office of the Securities and Exchange Commission.                 Clause 3. This Notification shall not be applied to those financial

management to prevent the use of securities business for money laundering and financing of terrorism issued by the Securities Industry Associations, which are approved by the Office; (8) “Office” means the