outside its office for the products listed on the Stock Exchange of Thailand, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.98 (6
Krungthai XSpring Securities Company Limited Between November 14, 2022 and August 9, 2023 Krungthai XSpring Securities Company Limited ("KTX") as a securities underwriter, failed to comply
access to investment-related information. To fulfill this mission, the SEC developed the "Mutual Funds Insight" microsite to serve as a center of knowledge, services, and tools related to mutual fund
Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, stated that SEC encourages intermediaries in the capital market, both in securities business and derivatives business, to fulfill the so-called
operators to adopt this suitability test to help improve service quality and better fulfill the investor demands,? Duangmon added.
submitted application or the supporting documents or evidences have any defect or do not fulfill applicable requirements. The applicants shall provide an evidence that the application fee of THB 100,000 (VAT
the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the
intermediary shall comply with. In this regard, the intermediary shall provide services by taking into 2 account the best interests of a client, protection of client’s interests, and preventing the causes of
audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply