/Act/translate-digital.docx complaint-form-general-en.docx / derivatives / digital asset intermediaries e.g. securities company/broker, asset management company and digital asset exchange; · approved

: Unlicensed securities and derivatives business (Disclosure Date : 18/03/2024) http://market.sec.or.th/public/idisc/en/Viewmore/invalert-det?CaseID=425&CaseYY=2567 Investor Alert : Facebook Page ชื่อ การจัดการ

proposed revision of rules governing operational control and information technology (IT) security of the securities companies and https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5794 SEC encourages

. Purchasing or selling securities in such a way that does not involve a change of beneficial ownership of such securities;   2. Placing a https://www.sec.or.th/EN/Pages/LAWANDREGULATIONS/MARKETMISCONDUCT.aspx

by sum of (i) cash paid on repayment of loans and debt securities; (ii) cash paid on debentures; (iii) cash paid on purchase of property https://market.sec.or.th/public/idisc/Views/Download?FILEID=dat

or securities by electronic equipment; (4) undertake any other necessary duties as prescribed by the notification of the https://publish.sec.or.th/nrs/4369pe.doc 4370pe.doc the application to head

. The Office shall notify the securities company of the result of consideration of the application within thirty days from the date in which the Office receives the https://publish.sec.or.th/nrs

, received, stored or processed through electronic procedures; “securities company reporting https://publish.sec.or.th/nrs/6999se.pdf 21061047.pdf technology solutions for electronic devices 3. providing

the information system (including the use of paper-based and electronic forms) to ensure that it https://www.sec.or.th/TH/Documents/Auditor/QAQR-07.xlsx securities-ITchecklist.xlsx Timeline การปฏิบัติ

Company Limited (“VI”)), a securities http://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an Inquiry Official Dated 18/12/2009 company is licensed to operate derivatives business