banking business and is under the supervision of an entity which has similar supervision to that of the Office; (4) “Securities business operator” means (a) Any company licensed to undertake securities
such laws to undertake commercial banking business and is under the supervision of an entity which has similar supervision to that of the Office; (4) “Securities business operator” means (a) Any company
Office of the Securities and Exchange Commission. CHAPTER I General Provisions Clause 4. A securities company, which custody client’s assets notwithstanding for the benefit of keeping, purchase, sale
and Exchange Commission. CHAPTER I General Provisions (Translation) -2- Clause 4. A securities company, which custody client’s assets notwithstanding for the benefit of keeping, purchase, sale
digital asset business operator failing to comply with Section 35 of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018) may subject to consideration of license revocation
asset business operator under the SEC’s supervision and is required to comply with the Digital Asset Business Law along with any relevant rules and regulations established under the law. This
Live Chat at the SEC website: www.sec.or.th. Mr. Anek Yooyuen, SEC Deputy Secretary-General and Spokesperson, said: “According to the specified legal procedures, if any digital asset business operator
case of abnormal increase in transaction volume of the business operator to the effect that the business operator must arrange sources of short - term finance to allow maintenance of NC, and with respect
of an authorised person of CIS Operator Please print this checklist and include it in the package of this form Page 2 of 5 Form 69 – CIS full Registration Statement for an offer for sale of units of
) Flow 1 : การขออนุมัติ/จัดสรรวงเงินจากส านักงาน ก.ล.ต. (“ส านักงาน”) ส านักงานพิจารณาค าขอและอนญุาตการเสนอขาย ASEAN CIS ในประเทศไทย การควบคุมวงเงิน วงเงินใกล้เต็ม CIS Operator ประสงค ์ จะเสนอขายหน่วยในไทย