Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar
intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
oriented growth companies and to balance any increase in leveraging. The updated G20/OECD Principles of Corporate Governance (the Principles) therefore provide a very timely and tangible contribution to the
the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the
intermediary shall comply with. In this regard, the intermediary shall provide services by taking into 2 account the best interests of a client, protection of client’s interests, and preventing the causes of
Zipmex Company Limited During the middle of 2020 to September 7, 2022, Zipmex Company Limited ("Zipmex"), a digital asset exchange and a digital asset broker, did not provide management
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause