and financial statements audited by an auditor who is employed by an audit firm that has been inspected by the SEC*; 2. Submit half-year and annual financial statements that have been
the development of the application that would be beneficial for investors, with which basic information can be convenient found and inspected. This application is another one of the measures
public at a financial technology exhibition held at a shopping center. The SEC thus conducted an on-site investigation to collect evidence. Today, the SEC and the ECD inspected the exhibition booths at the
. Nonetheless, she neither examined KYC/CDD documents of the client and the beneficial owner, nor recorded the beneficial owner's identity. In this case, the beneficial owner was an executive and a shareholder of
than such specified age. Furthermore, the findings showed that Nakul had not properly conducted cadastral survey of land and inspected the building structures and renovation records prior to Montri Fund
implement mechanisms for the supervision of its affiliated and associated companies. These mechanisms must be examined by the holding company’s audit committee and board of directors. Measures ensuring that
for the digital asset operating licenses.SEC examined information of Southeast Asia Digital Exchange Co., Ltd. (SEADEX) and found that SEADEX has been operating a digital asset exchange before the
whose proxy is their custodian that is a local financial institution, listed companies may bypass request for additional ID documents because the custodians must already have examined their clients? ID
or giving any advice to the client, he signed such selling order form in the capacity of an investment consultant. In addition, he neither examined the transaction nor requested for additional
processes in the capital market to work more effectively, decrease the cost in accessibility or the operation of each market participant in each sector also be transparent and able to be inspected, and