and Exchange Commission, resulted from the instruction or the failure to give instruction which is a duty required to be performed. This case is in the process of inquiry by the inquiry official. DAB

and derivatives before the execution of Mr. Komen’s order for the mutual fund was completed. This case is in the process of inquiry by the inquiry official. SEC Act S.244/2 in conjunction with 244/1

, Bitazza failed to provide the management and operational data recording system by failing to present appropriate loan process and agreements to the SEC office. DAB Act S.94 in conjunction with 30

ปฏิบัติในการขายและให้บริการด้านผลิตภัณฑ์หน่วยลงทุนและตราสารหนี้ 3. แบบลงนามรับทราบความเสี่ยง      หลักการและเหตุผล ปรับปรุงหลักเกณฑ์เกี่ยวกับประเภทคนขายและ sales process ของผลิตภัณฑ์ในตลาดทุน โดยกำหนดประเภท

The SEC has specified the list of eligible cryptocurrencies to be used for investment in digital tokens through ICOs process and as base trading pair against digital asset exchanges. Currently

process of selecting an auditor from the SEC Approved List. As conducting a special audit is a crucial matter that may impact the rights and benefits of securities holders or influence investor decisions

Essentially, the amendments would apply to digital asset business operators, i.e., exchanges, brokers and dealers, and cover the licensing process, from change to the fee payment time frame to

process is in line with the Capital Market Development Plan in the area of building competitiveness and business sustainability. It is expected to reduce the volume of paper use of the business sector by

by conducting the process of Know Your Client (KYC) so that they can provide appropriate services. Nowadays, an electronic KYC or e-KYC has been introduced to make KYC processes faster and become

Measures for preventing conflicts of interest are an important part of the SEC policy especially in the process of securities issuance and offering, which involves participation of key