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
flows as above, KBank is closely monitoring the situation and assessing possible impacts, placing importance on efficient risk management under the supervision of the Enterprise Risk Management Division
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
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
digital asset businesses, including those from foreign countries, as they are not under the SEC’s supervision and may pose a risk of fraud and scams. Concurrently, the SEC urges event organizers to exercise
. The proposal aims to promote a clear understanding and a standardized protocol for monitoring and supervision of digital asset businesses, and to reduce the necessity for case-by-case data
first MOA is for cooperation in monitoring and oversight of fund mobilizing companies or capital market business operators, entering the rehabilitation process or involved in a bankruptcy case pursuant to