the customer must place cash or listed securities as initial margin with securities company . However, bonds or investment units are not permitted to be place with securities company as collateral to

invest in such digital assets is strongly advised to consider the associated risks carefully and take into serious consideration the following factors: (1) These ICOs have not been approved by the SEC in

solicitation for investment in three digital assets or initial coin offerings (ICO) that have not been approved by the SEC, namely (1) Cryptomining Farm or GHS, (2) ZGW and (3) GJM. Following public referrals

SEC has a responsibility for the supervision and development of the Thai capital market so as to ensure that it is effective, transparent, and reliable and is accessible by every sector of capital

auditing and reviewing the financial statements, is therefore a key factor in making the financial statements reliable; and when the international standards change, SEC is required to revise the rules

the meeting. If the meeting’s notice has not been sent, listed companies are requested to inform shareholders to utilize this option. If it has already been sent, the message could be sent to the

know-your-customer requirement or e-KYC via online methods. The use of authentication and verification under the National Digital ID (NDID) system will make it convenient, quick and reliable to open

conducting an asset due diligence from every year after the previous due diligence to at least once in a calendar year, and permitting the use of other reliable methods to conduct an asset due diligence

Following a tip from a reliable source and SEC’s further inspection, SEC finds that Devere & Partners and Mr. Ian Mcintyre had operated securities brokerage and investment advisory businesses

control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or https://www.sec.or.th/EN