at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval
Persons for Securitization of 1997 , and the Emergency Decree on Digital Asset Businesses of 2018 . To determine a violation and take an action on any individual or firm, the SEC would investigate and
Intermediaries Reporting Requirement Weekly Reports Weekly Report on the Purchase of High Turnover Securities by Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the
at large in Thailand. The infrastructure entity under IFF shall not sell products/services more than one-third of its maximum capacity to an individual client, or to a group of associated persons
be granted approval by the SEC shall possess qualifications of an individual person and of the firm to which the auditor is attached as prescribed by the regulations summarized below: Individual
at large in Thailand. The infrastructure entity under IFF shall not sell products/services more than one-third of its maximum capacity to an individual client, or to a group of associated persons
businesses are categorized into three types: (1) digital asset exchange; (2) digital asset broker; and (3) digital asset dealer. Digital asset exchange means a center or a network established for the purposes
offered is > five percent of paid-up shares at the date of the decision of the shareholders' meeting and the offering price can be categorized as an offering at a discount. Consideration of whether or not
businesses are categorized into three types: (1) digital asset exchange; (2) digital asset broker; and (3) digital asset dealer. Digital asset exchange means a center or a network established for the purposes
individual limit; (2) A total limit of the mutual fund in proportion to the investment in or the holding of liquidity assets. 8.6 R edemption payment in the form of securities or other assets in lieu of cash