asset business, and the requirement that any business operator that cannot maintain its net capital to meet the criteria must cease its business operation immediately in order to prevent any damage to
for preventing and suppressing digital asset-related frauds and faster measures to contain damage incurred from such frauds that affect the investing public. The next step is to discuss methods and
procedure to replace the performance of the audit committee because there is less possibility of damage to the customers and requirement of the audit committee may cause unnecessary burden on the business
, the SEC urged short-term debt issuers to secure a reserve fund to prevent liquidity issues. In this particular case, the company must clarify information to investors to prevent damage to the overall
cyber risks and internal control systems to prevent and manage risks that may cause widespread damage to business operation and impact on shareholders, stakeholders and the overall capital market. The
securities company or derivatives broker for damage or loss incurred to client?s money and the business operator will be required to calculate value of instruments or securities in which client?s money are
clients' assets. In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the
authorizations for a long time for a high volume of securities and derivatives trading, which caused a great amount of damage to the client. In addition, she misinformed the client with regard to the amount of
prevent damage to investors and their confidence in the capital market.