Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2) of the
exchange” means a person licensed to undertake business as derivatives exchange; (2) “derivatives clearing house” means a person licensed to undertake business as derivatives clearing house; (3) “director
securities companies licensed to undertake securities business in the category of mutual fund management All securities companies licensed to undertake securities business in the category of securities
Thai Securities Companies President of the Association of Investment Management Companies Managers All securities companies All securities companies licensed to undertake securities business in the
investment, contact only legally approved digital asset business operators. For more information and the SEC list of approved or licensed entities, please visit www.sec.or.th or sign up for SEC Check First
especially when being approached by someone not on the SEC approved/licensed list. For inquiries and further information on digital asset investment, call SEC Help Center Hotline 1207. “Additionally, as seen
should examine persuaders on whether or not they are licensed as the digital asset business operators on SEC list. Those who are not listed and intend to operate digital asset businesses can request SEC
, withdrawal or any transactions related to digital assets. Violators may be liable to penalties under the law. The list of licensed digital asset business operators is available at www.sec.or.th and SEC Check
Commission B.E. 2535 (1992) are: 1. Juristic person licensed to undertake securities business in the category of investment advisory services under the Ministerial Regulation concerning the undertaking of
.: _________________________ 15) Is the CIS Operator currently licensed/ authorised/ approved by its Home Regulator to conduct the activities as specified by section 56 of the Passport Rules (Annex 3) of the MOC? Yes No If “No