Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities Broker-Dealers (section 113) Revocation of License (section 147) Service Outsourcing Guide for
rectification requirements. Consequently, the SEC Board resolved to propose the revocation of Zipmex’s digital asset exchange and broker licenses for the Minister of Finance’s consideration. The SEC Board also
the revocation of the license to the revoked registrar in writing. In this regard, the revoked registrar shall notify the securities issuer of the revocation in writing, and shall arrange the delivery
responsibilities for providing services as securities registrar, the Securities and Exchange Commission may revoke the license of securities registrar, in which case the Office shall notify the revocation of the
Capital Market dated June 3, 2014, which would be subject to revocation of an approval as fund manager and setting the period for acceptance of re-application for approval as capital market personnel for
is required to arrange for the clients’ withdrawal of assets at all times, contact the clients to return their money and digital assets, transfer money back to the clients, and transfer digital assets
custody system by ensuring that client assets denominated in Thai baht are kept separate from the company’s assets and establishing an efficient system for the deposit and withdrawal of monetary assets; (3
securities business | - |- Registered Capital (Section 96) | - |- Revocation of License (Section 147) | - |- Decrease in Registered Capital (Section 98(1)) | - |- Fees (Section 14, 19) |- Business Conduct