additional information and facilitate the SEC Office’s officials or assignees in conducting a site visit and inspection over the audit quality control system of the audit firm where I work for, for the benefit

ของผู้ประกอบธุรกิจสินทรัพย์ดิจิทัลผ่านการติดตามทั้งในรูปของ on-site inspection และ off-site monitoring อย่างต่อเนื่อง เพื่อให้มั่นใจว่าผู้ประกอบธุรกิจสินทรัพย์ดิจิทัลดำเนินการตามหลักเกณฑ์ มาตรการ และ

operations, with the requirement that during the first two years, the records must be stored in a format that readily accessible for the SEC’s review or inspection.   The consultation paper is available

check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The

includes inspection of audit firms’ quality control systems, which has been running since 2010.  According to the Activities Report 2021, audit firms in the capital market have continued to improve their

According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1

Following tips and the SEC’s further inspection, it was found that {X1} has provided platform services for trading or exchanging digital assets via its website by matching orders or arranging for the

The SEC’s inspection on the operation of Huobi as a digital asset exchange operator during February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and

Following a tip from a reliable source and SEC’s further inspection, SEC finds that Devere & Partners and Mr. Ian Mcintyre had operated securities brokerage and investment advisory businesses

complaint inspection report from Apple Wealth Securities, the SEC has investigated further and found that Pisist had solicited a client to trade securities to earn the set interest rate of 8 percent within