provide a sufficient security system to prevent unauthorized persons from accessing or amending information relating to its business operation. Clause 12 A securities company shall provide evidence on
, and available for use in an efficient manner within an appropriate time, as well as a security system which is sufficient to prevent the access to or amendment of such information by any unauthorized
access to or amendment of such information by any unauthorized person. Clause 12. The derivatives broker shall provide documentation evidencing derivatives trading and ensure that complete documentation is
reporting, losses of assets, corruptions, management override of internal controls, manipulations on important financial information, unauthorized acquisition or disposition of assets etc. 8.2 The company
; Documents for completed matters will be stored at a warehouse with appropriate security measures against unauthorized access. 3. Retention Period The retention period for personal data shall be in compliance
appropriate security measures against unauthorized access. 3. Retention Period The retention period for personal data shall be in compliance with the Data Retention Policy. 5. Personal Data of Minors The SEC
penalties under Section 57 and Section 66 of the Royal Decree on Digital Asset Businesses B.E. 2561 (2018). The first count of unlicensed offering of digital tokens is liable to imprisonment for a term not
aided and abetted Devere & Partners and Mr. Ian McIntyre by allowing them to use the name and email of Broadgate for undertaking such unlicensed business.Actions of the three persons above violated
examination on suspicious facts. Overall, the number of complaints against unlicensed securities or derivatives businesses is on a gradual decline, and 75 percent of the cases is beyond the SEC?s authority, for