The SEC’s examination of facts in this case has led to the consideration that Zipmex disseminated or certified information that were potentially misleading in substance regarding digital asset

According to AIA’s inspection report and SEC’s further investigation, it was found that Sorrapon received the unit-linked life insurance premium from the client but did not forward the premium

mutual fund brokerage securities companies, and 4 life insurance companies, the list of which can be viewed at: https://insight-fund.sec.or.th/. Ms. Waratchya Srimachand, SEC Deputy Secretary-General said

ยากในการบังคับหลักประกัน กรณีข้างต้นถือว่าไม่ได้เป็นการลงทุนในพันธบัตรโดยตรง กรณีนี้ให้ใช้ substance เป็นหลักในการพิจารณา ซึ่งสอดคล้องกับการตีความมาตรา 126(5) ที่ห้าม

rules, conditions, and procedures for appointment and conduct of fund manager; (9) “Training Institute” means training institutes accepted by the Office; (10) “Unit-linked life insurance policy” means an

procedures for appointment and conduct of fund manager; (9) “Training Institute” means training institutes accepted by the Office; (10) “Unit-linked life insurance policy” means an insurance policy issued by

procedures for appointment and conduct of fund manager; (9) “Training Institute” means training institutes accepted by the Office; (10) “Unit-linked life insurance policy” means an insurance policy issued by

Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . Division 3 Substance of provisions _____________________________ Clause 4 The requirements

:  การพิจารณาตราสารดังกล่าว ควรพิจารณาที่ Substance ของตราสารเป็นสำคัญ ดังนั้น แม้ว่าตราสารจะใช้ชื่อว่า Structured Notes แต่เมื่อมี 

other training institutes approved by the Office; “Unit-linked life insurance policy” means an insurance policy issued by life insurance company to the insured as evidence that the insured and the life