derivatives, management of derivatives business, management of customers’ assets in derivatives business or any other positions or nature of work similar thereto for which the job holder is required to obtain
investment decision-making. Any entity wishing to operate a digital asset business must obtain an approval from the Minister of Finance and meet the SEC requirements regarding, for example, having adequate
businesses as trading centers, brokerage firms and dealers for digital assets. Under the royal decree, they must obtain licenses to operate digital asset businesses from Ministry of Finance. SEC has a duty to
the auditor is unable to obtain sufficient appropriate audit evidence, auditor should report audit committee to proceed with the matter. In case audit committee is aware of the matter but does not take
digital asset business operators. Pursuant to the Emergency Decree on Digital Asset Businesses of 2018, digital asset business operators are required to obtain a relevant license from the Minister of
acts. For example, Section 21 prescribes that a minor shall obtain a consent from the rightful representative before executing any legal acts and any acts executed by a minor without such consent shall
the auditor is unable to obtain sufficient appropriate audit evidence, auditor should report audit committee to proceed with the matter. In case audit committee is aware of the matter but does not take
offer for sale of equity instruments, debt instruments, and derivative warrants; 2. Related party transactions (RPT) of the listed company that are required to obtain approval from the shareholders, and
responsive to the different needs of market participants without unfairly advancing the interests of any particular group to the disadvantage of others; Promptly deal with identified issues and misconduct
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...