principles in order to prevent disputes or risks to the company such as risks to reputation.In the past, SEC participated in this matter by attending a seminar organized by the Ministry of Justice and the
effective handling of complaints and disputes arising from trading services with respect to derivatives, or from use of its services, by taking at least the following actions: (1) set out written rules on
, parent company, subsidiary company, affiliate company or person who may have conflicts of interest; (b) not be an employee, staff, advisor who earns salary, or controlling person of the securities company
who may have conflicts of interest; 3 Repealed and repealed by the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 39/2553 Re: Qualifications and Prohibited Characteristics of
measures to prevent and manage conflicts of interest. Such mechanism and measures must be clearly outlined in the ICO filing. Additionally, specific significant matters would require approval from the
the efficiency of their disclosure, (3) adequacy and clarity of asset valuation on the balance sheet, and (4) conflicts of interest regarding credit rating agencies? recommendation of rated structured
and, in case they are under the same group, preventive measures against conflicts of interest must be put in place. At the SEC Board meeting, Mr. Somphol Kiaphaibool and Mrs. Jaruporn Vaiyanant were
conflicts of interest. The revised rules also protect the best interest of investors by prohibiting collection of redundant fees, prohibiting the exercise of the voting right of the invested funds
; (5) directors, management executives and major shareholders with no prohibited characteristics approved by SEC; (6) no conflicts of interest between other operations and digital asset business with
3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5