Effective Date 1. Notification of the Securities and Exchange Commission  Kor Thor. 18/2563 Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to

SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession ; (2) Investing in or https://publish.sec.or.th/nrs/2249pe.doc

was in charge of the company?s operation and asset management. Previously on May 27, 2010, the SEC filed a complaint against Wichai for misappropriating the company assets worth approximately 179.6

(DSI) on account of misappropriating approximately 57.7 million baht of the company assets and falsifying documents and recording false accounting information during 2009-2010 while he was in charge of

ธุรกิจควรพิจารณาความเสี่ยงอื่น ๆ จากการใช้ บริการจากบุคคลภายนอก เช่น ความเส่ียงในด้าน concentration risk / vendor locked-in เป็นต้น เพิ่มเติมด้วย 4.2.2.9 [New] กรณีที่ ใช ้บร ิการโครงสร ้าง พื ้นฐานจาก

; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of

firm to perform duty as local intermediary in Thailand ( issued by Qualifying CIS Operator ) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the Qualifying CIS

of a brokerage firm to perform duty as local intermediary in Thailand (issued by Qualifying CIS Operator) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the

securities trading account. This constitutes an offense of purchasing securities as a person who knows or possesses inside information under Section 242(1), in conjunction with Section 244(2) and (5), and is

Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities