, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the improvement in its

, dishonesty, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the

the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A

(Newest) Date (Oldest) ’ digital assets under BX’s control or possession to other wallets which are not purported to keep client’s assets servicing clients who want to reclaim their assets and will lay off

SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession ; (2) Investing in or https://publish.sec.or.th/nrs/2249pe.doc

. Using the client’s identification card left with her to verify the identity, the password of the authorized person to approve the unit redemption transactions, and the client’s internet banking account

the client is legally capable for executing legal acts with digital asset business operators, and review the KYC to ensure that the client’s information is updated and accurate when it appears that the

client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own

private fund assets; □ (3) Operation system that allows the custodian to operate efficiently shall include at least the following: □ (3.1) System to separate client’s assets from custodian’s assets, safe

to separate client’s assets from custodian’s assets, safe keeping system of such assets, and internal control system to prevent the misuse of client’s assets; □ (3.2) System for preventing damages to