follows: 1 . We wish to express an intention to submit information electronically to the SEC Office and agree to abide by the following conditions: 1.1 We fully understand and acknowledge the SEC Office’s
., Arya Payungvivattanakul, a managing director of Globalview Consulting Co.,Ltd., Ruangrit Pansiri and Aroonvadee Kittikasemsak for jointly operating unlicensed securities businesses. Following suspicious
conditions” means the provisions governing the rights and obligations of issuers and holders of corporate bonds and shall include the provisions governing the rights and obligations of issuers and holders of
regulation. Key highlights included: (1) Utilizing AI to detect suspicious trading behaviors and potential misconduct, aimed at promoting transparency and strengthening investor protection, and (2) Building an
collaborated with social media platform providers to block suspicious accounts involved in investment scams, with over 97% of such accounts successfully blocked. Additionally, the SEC set up a booth to promote
information related to such digital asset investments. The list of licensed digital asset business operators is available at www.sec.or.th/digitalasset. In case of possible tips on suspicious activities
management, conducted by an SEC-approved auditor working for one of the big four audit firms. The suspicious grounds for such audit are: (1) the placement of THL assets as collateral for stay of legal
derivatives business.Vasant Thienhom, SEC Deputy Secretary-General, said that "Following suspicious report from investors, the SEC's probe revealed that {X1} Co., Ltd. and {A} held themselves out as gold
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.