provisions relating to a company licensed to undertake securities business in the category of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3

of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3/1. For the purpose of supervision the undertaking of securities brokerage of

illegal activities.   Jomkwan Kongsakul, SEC Deputy Secretary-General said: “This inspection conducted with the CIB and the ECD was a result of our proactive collaboration to examine wrongful activities in

make trading orders on his or her behalf, the investor must issue a written power of attorney and should examine the trading confirmation documents regularly. _____________________________ * Clause 23

public to be cautious when being asked to trade digital assets. The public should examine whether the operator is on the list of SEC’s digital asset business applicants. SEC reiterates that SEC has not

. Selling agent must comply with specified criteria, for example, selling agent must examine investor?s characteristics before offering for sale of the product to ensure that the offer has been made to

mutual fund) Redemption Form without providing services in such capacity, nor did she examine the unit holding report of the customer's fund investment portfolio before the customer's partial unit

audit on the internal control system concerning the B/E issuance, related receipt and payment transactions, and the company's accounting records practice. In addition, KC must examine the issue raised by

advisors, and derivatives business operators are required to report suspicious transactions as specified by the law to the AMLO; which has the power to examine the report and information relating to

additional particulars: (1) The trading code of the investment units on the Stock Exchange of Thailand; (2) The top ten securities invested by the mutual fund; (3) The amount of investment units traded on the