SEC before proceeding in order for the SEC’s efficient monitoring of digital asset business operations; (4) Improvement of Service Standards: Prohibiting digital asset business operators from
refinance the loans or encumbrances incurred by the infrastructure mutual fund itself or the infrastructure business being subsidiary of the infrastructure mutual fund for the purpose of proceeding in sub
responsible for proceeding according to such procedures in each situation. Clause 7 The notifications of the SEC Office, orders and circulars that are issued or set out guidelines pursuant to the Notifications
the clarification of the person(s) against whom the complaint is filed, and whether an explanation is sufficient for further legal proceeding; ● In case of a dispute between an investor and an
investment goals. This may lead to multiple financial products in the investors' portfolios but insufficient solutions to the investors' long-term financial well-being. The SEC is proceeding with a strategic
fund supervisor, the former fund supervisor shall proceed as necessary to ensure that the new fund supervisor can continue duty performance. In this regard, such proceeding shall include signing in the
SEC Office. (Reasons for seeking an exemption are required for the SEC Office's consideration). 4.5 Having not been accused of or subject to criminal proceeding, whether under Thai or foreign laws
on which the advice is given or order is placed, as the case may be. However, should there be any customers’ complaint relating to the giving of advice or placing of order whose proceeding has not been
characteristics as follows: (1) having deficiency in legal competence or having been subject to any legal proceeding under the law governing capital market or having untrustworthy characteristics as specified by