capacity as the bondholders’ representative, failed to maintain the required qualifications of a bondholders’ representative and neglected to notify the Securities and Exchange Commission (“SEC”) of such

bondholders’ representatives to have paid-up registered capital at a minimum of 25 million baht, comparable to securities companies that maintain clients' assets in custody. Moreover, funding portals who act

which are fixed income funds making daily redemptions and same-day settlements or settlements on the next business day. It is therefore crucial that they maintain adequate liquidity to respond to

has to be maintained to ensure continuity of business operations.To cover potential liability risks arising from professional negligence, asset management companies are required to maintain

. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures

with accountability by using knowledge, skill, experience and prudence as usually required from the person of same profession and to uphold professional code of ethics of a financial advisor; (2) to

According to the findings from the SEC’s investigation, Longroot failed to maintain the qualifications regarding financial position, management structure, and work systems throughout the approval

and intellectual property while preventing potential brand impersonation. This collaboration marked a significant step forward in equipping the industry with tools and knowledge to uphold trust and

facilitate fundraising activities by providing appropriate regulatory flexibility, while continuing to uphold investor protection principles.Accordingly, the SEC is inviting public comments on the proposed

results Sort by: Relevance Date (Newest) Date (Oldest) QAQR-06.xlsx institution, insurance, construction, digital assets ) obtain/maintain the required specialist knowledge? Does the firm have special