of Directors and Executives of Securities Issuing Companies Enforcement Fundraising Securities Issuing Companies Takeover Professionals Intermediaries Search-for-related-personnel Mutual Fund
King’s Coronation, which the SEC and 12 other capital market organizations co-launched on 14 August 2019 to encourage organizations and personnel in the capital market to make useful contributions based
. The SEC therefore filed the criminal complaint against both persons with the DSI for further legal proceeding. Consequently, they are automatically barred from serving as capital market personnel or as
Bitcoins worth approximately 797 million baht. SEC is working closely with the enforcement personnel to investigate further details and examine whether there is any violation of laws governing securities
digital asset ecosystem. Furthermore, standard training courses will be promoted to ensure that personnel in the digital asset industry will have sufficient knowledge and competency for providing services
against them with the DSI for further legal proceedings.During the legal proceedings, {A} and {B} are deemed as having prohibited characteristics of capital market personnel and untrustworthy
Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and capital adequacy. There are also new provisions about the accountability of the
Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and capital adequacy. There are also new provisions about the accountability of the
protecting investors’ rights. For example, having personnel readiness and work systems related to duty performance and establishing preventive measures and effective handling of conflicts of interest
re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} for three months and {B