monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
to provide investors with quality and standard services from business operators.The regulations will require business operators to provide personnel, communication system, customer service system
– September 3, 2025 Bitazza failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, Bitazza failed to provide appropriate internal systems and processes for
Thailand: (1) being allowed to perform audit work under foreign law or rule; (2) being affiliated with an audit firm that has an audit quality control system and the required number of personnel; (3) meeting
) Certificate of Juristic Person Registration or Incorporation Document of Audit Firm with which the Applicant is Affiliated and Shareholders’ List Original: 0 copy Photocopy: 1 copy Remark: Sign to certify on
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
แบบแสดงรายการขอมูลการเสนอขายตราสารหน้ี (รายครั้ง) (แบบ 69-DEBT-PO-GOV.AGENCY) บริษัท........... (ช่ือไทย/อังกฤษของผูเสนอขายตราสารหน้ี) ............. เสนอขาย ......................................................................................................................... ......................................................................................................................... ....................................................................................................
Currently, investors are usually required to provide a lot of information each time they request services from an intermediary and must repeat the process via different forms when using services of