, investors should contact the compliance unit without delay._______________________ Notes:  * Pursuant to Clause 23(2) and Clause 23(1) and the prohibited characteristics of personnel in the capital market

involves severely illegal business. For example, human trafficking, drug smuggling or money laundering etc. Moreover, the issuer must not act in violation or non-compliance with the law, which may cause

six months to improve and develop necessary work systems in compliance with the governing regulations. ________________________

cybersecurity to protect the safety of clients’ assets, and requires digital asset business operators to have cybersecurity measures in compliance with the standards specified by the SEC. Likewise, service users

?s purchase. The letter of guarantee on the Fund?s revenue prepared by him contains the conditions, not in compliance with the Fund scheme. Nukul also received some benefits from the property seller to

work systems, causing the company to fail to operate its business in compliance with the governing regulations. Therefore, on 19 March 2021, by virtue of Section 35 Paragraph 1 of the Emergency Decree

compliance;            (2)  Revoking notifications that are no longer necessary or become overlapping, for example, repealing the rule requiring asset management companies to notify the fund’s annual report

capital market auditor in compliance with the revised notification.  __________________________ Remarks: * Notification of the Office of the Securities and Exchange Commission No. Sor

ensure compliance with respective laws and developing capital markets of the two countries.  The MoU, signed by SEC Secretary-General Vorapol Socatiyanurak and SECC Director General Ming Bankosal, aims at

securities companies to prevent the misuse of such securities as a tool to evade compliance with relevant regulations such as the compulsory reporting on acquisition and disposition of securities, or to