banned Ravi from holding the position of director or executive at any issuing or listed companies for one year.* ________________________________ *In compliance with the Notification of the Securities

compliance with the governing law; (2) These ICOs have not been screened by the SEC-approved ICO portals; (3) Necessary and sufficient information on these ICOs may not be disclosed to support investors

นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ ก.ล.ต. พร้อมด้วยนางปะราลี สุคนธมาน ผู้ช่วยเลขาธิการ และคณะผู้บริหาร ได้เข้าร่วมประชุม ASIFMA Compliance and Legal Conference 2019 ณ ประเทศฮ่องกง ระหว่างวันที่ 29

seeking advice on fundraising or applying for a digital asset business license in compliance with th Royal Decree on Digital Asset Businesses B.E. 2561 (2018) are welcome to contact the SEC Digital Asset

company's management and monitoring on personnel systems did not comply with professional standards. In this regard, the SEC warned KPMG Phoomchai Business Advisory Ltd. to emphasize on compliance with

years ago which was non-compliance with the conditions on LTF tax benefits. The client was subject to retroactive tax payment plus surcharges.Failure to provide complete information or advice by not

comments and suggestions from the focus group consultation in November last year. The draft amendments would also improve market readiness and reduce compliance cost. The essences of the proposed amendments

financial instruments and put in place effective regulations to ensure compliance, fairness, and prevent exploitation of stakeholders. As the market became more developed, new products were introduced and

served.Investors are strongly advised to be careful and not to allow investment consultants to make trading decisions for them. Compliance unit should be immediately informed if a trading account is used without the

which are in compliance with sustainable development and used to define business targets.Besides, institutional investors play a major role to drive and monitor listed companies for adoption of