organizations that participate in projects Consent basis/Contract basis/ Legitimate interest basis Promotion of knowledge and sending news via email to subscribers, preparing pictures and news of activities of

account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12

reference to analysis report.In the case of {A}, a client filed a complaint against her and the SEC's further investigation revealed that she had made decisions to purchase securities without the client's

the true owner of the trading account, and adding a new contact phone number to the client's personal profile even though there was no evidence that the client had ordered the responsible investment

Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the

misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit

auditing by the auditor approved by the SEC Office; (5) know-your-client measures, client due diligence process and measures against financial assistance to terrorists or money laundering. Section 31. In the

by the SEC Office; (5) know-your-client measures, client due diligence process and measures against financial assistance to terrorists or money laundering. Section 31. In the case where a digital asset

Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due

into a Consent Conditions Undertaking (CCU) with the three investors, which resulted in an obligation for PACE to repurchase a certain amount of the preferred stocks. Because the CCU may cause a