e-service Online Submission Derivatives Agent >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission  KorThor. 68/2547

. For example, high-risk transactions related to clients’ assets would be subject to AAL2.1** while other transactions would be subject to AAL1**.  The consultation paper is available at www.sec.or.th

Pursuant to the Ministerial Notification concerning Approval for Undertaking of Digital Asset Businesses, effective since 13 July 2022, DA custodial wallet provider is required to obtain a DA

exploiting client?s assets for personal interest. Following Thanachart's report, the SEC probed into the case and found that {A} traded high volume of securities in the client's account without permission for

deficiencies in management and internal control systems. The company’s financial statements contained items that did not exist or were misstated, and the capital maintenance report overstated liquid assets

maturity date of the contract, totaling Baht 690,000. In addition, The assets which SAP will rent are owned by Mrs. Dhanawan Dhanasuwiwath (Previous name and surname : Mrs. Duangporn Dhanasuckanchana

... TRANSLATED VERSION As of November 23, 2011 3 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of

... TRANSLATED VERSION As of November 23, 2011 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of

TRANSLATED VERSION As of November 23, 2011 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the

   Securities and Exchange Act 2535   98 12/03/1992 16/05/1992 2. Notification of Capital Market Supervisory Board  TorThor. 9/2554 Short Selling of ETF and Securities Being Underlying of ETF by a Securities