distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to-date. Also, the

warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance

that they are issued by the servicing securities company. In case of suspicion, investors should contact the compliance officer of the securities company without delay. In any case, investment

Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection

and risks associated with rapidly evolving digital assets and apply the principle of “same activity, same risk, same regulatory outcome.” This aligns with the TDO's important goal of driving the

Tons of CO2 Equivalent Carbon Footprint: The total amount of greenhouse gases emitted by an activity or organization over time, measured in tons of carbon dioxide equivalent (tCO2e) Activity Data x

checked at the “investor alert” link https://market.sec.or.th/public/idisc/th/investorAlert Any signs and clues of suspicious activity can be notified through the “SEC Help Center”, Tel. 1207, or Facebook

can be submitted to the SEC before the filing the original application for approval 4. Submit activity reports on wealth advisory operation (particularly item 4.1) to the SEC, so that the SEC can use to

can be submitted to the SEC before the filing the original application for approval 4. Submit activity reports on wealth advisory operation (particularly item 4.1) to the SEC, so that the SEC can use to

supporting declaration of identity and additional documents in case of reasonable suspicion concerning investor’s qualifications. Securities company shall revise investor’s information under the first