capital market should be protected by relevant authorities in a correct and proper manner. There should also be measures in place to prevent problems when investors use services by different providers

managers of DA operators. The SEC has reviewed and considered the comments and recommendations received from both sessions in drafting the relevant regulations to ensure more appropriate and consistent

, which are required to be completed and mailto:mrfhongkong@sec.or.th As of June 2021 5 No. Question Answer correct, as applicable, by a Hong Kong Covered Entity or an authorised person of a Hong Kong

Mr. James Gray Mr. James Gray, the management responsible for Antella Investment Inc., operated securities brokerage businesses without proper licenses granted. SEC Act S.301 Criminal Complaint

this application. b. Please mark an X in the appropriate box corresponding to your answer c. Send complete and signed form to Accounting Supervision Department The Securities and Exchange Commission

2006. The extension is to provide sufficient time for the company to correct accounting entries and for the auditor to thoroughly audit the corrected financial statements. The one-month

executives? and personnel's capability, and promotion of innovation and responsible business operation, and (3) to monitor and disclose information by ensuring appropriate risk management and internal control

benefit that are clear, easily understandable, not misleading, appropriate and fair; (4) has been publicly communicated to the investors in advance for a proper period of time; (5) the expenses of which are

requirements under this Notification in order to instruct appropriate and corresponding practicality. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied

not necessary for some types of capital market products; (3) announcing a detailed guideline for the benefit of compliance with the requirements under this Notification in order to instruct appropriate