within the period specified in the notification of the Capital Market Supervisory Board. He later filed the accurate reports (Form 246-2) to the SEC Office on March 31, 2020 and May 19, 2020 SEC Act S
shares reached or passed five percent of the total number of voting rights of TIGER. Mr. Anurak later filed the accurate reports (Form 246-2) to the SEC Office on 10 August 2022. SEC Act S.246
means the records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. Therefore, the SEC
in this manner had not happened before. The fact in this matter, although seems not so complicated, relates to many provisions of laws under the purview of both the SEC and the DBD. Accordingly, while
qualified audit personnel and inability to react to changes of professional standards and more complicated structural transactions, will also be addressed to support market readiness for current dynamic
supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
complicated, and for the most part the existing laws do not cover all new ways of committing an offense in the capital market. Legal provisions applied to some cases are unclear and open to interpretation
ตลาดหลักทรัพย์ . Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete
ตลาดหลักทรัพย์ . Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete
records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC