Ministerial Regulations as follows: Clause 1 Person eligible to apply for license to undertake securities business in the category of inter - dealer brokerage shall- (1) not have shareholder or controlling
that the firm considers as high risk? Please describe the relevant responses to these risks B1 Who is the ultimate shareholder(s) that have ultimate control of the audit firm, and;? B2 Who has the
global issue and urges all stakeholders in the capital market, particularly asset owners and asset managers, to prioritize positive actions on climate change as they have the decision powers to invest
public and private organizations worldwide are pressing more emphasis on promoting investment for sustainable development, institutional investors have more roles to play as far as the ESG factors and
: coins.co.th); (2) Digital Coin Co., Ltd. (ThaiWM / website: thaiwm.com). In addition, SEC is reviewing information of two other digital asset business operators that have applied for operating licenses, in
of inter - dealer brokerage shall- (1) not have shareholder or controlling person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records
from operating business with the characteristics of an investment company to enhance protection of interests of shareholders and investors. The amendments have become effective from 1 January 2024
for asset management companies? higher competitiveness. Regulations governing fund establishment and management have been issued and revised with more flexibility and in line with international
sale of digital tokens backed by real estate as a means to have a mechanism to protect rights of investors properly and adequately and to improve flexibility in a case that a smart contract does not
, economics or law. Clause 2. The directors and executives of the securities company shall have the following qualifications: (1) 4 having the academic qualifications and work experience in accordance with the