conditions for digital asset trading centers and dealers like a case of customers’ asset containment. “Business operators play a vital role in the digital asset market. Therefore, SEC has issued the

and the details of their business transactions, preparers, namely Chief Executive Officer (CEO), Chief Financial Officer (CFO), and financial controller, are vital in ensuring the relevance and

/ monitored on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process

investor education, market disciplines and industry participations. Duty performance of company directors and executives is closely monitored to ensure compliance with corporate governance, protection of

statements) or audited (annual financial statements) by an SEC-approved auditor which are monitored and reviewed by the SEC on a quarterly basis to ensure that investors will obtain accurate and complete

SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...

, according to higher cost. Moreover, to keep market share, company needed to launch price promotion in vital channel. Financial results of 9-month ended period ● Considering year to date result, total sales

accordance with the guidelines for renewal of approval for investor contacts as prescribed by the Office. The prescription is to ensure that investor contacts who play vital roles in the capital market will

knowledge in accordance with the guidelines for renewal of approval for investor contacts as prescribed by the Office. The prescription is to ensure that investor contacts who play vital roles in the capital

investor contacts who play vital roles in the capital market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This