) implementing the portfolio according to the asset allocation plan; (4) monitoring and rebalancing the portfolio; and (5) providing consolidated reports for customers’ review;2. The wealth advice service
) Basic investment knowledge;(2) Understanding investment products;(3) Understanding digital assets and related risks;(4) Investment diversification and monitoring;(5) Understanding
company's management and monitoring on personnel systems did not comply with professional standards. In this regard, the SEC warned KPMG Phoomchai Business Advisory Ltd. to emphasize on compliance with
sufficient systems for monitoring securities trading and other services provided to their customers so as to prevent the commission of offenses under such Acts.?
The Board of Directors' Meeting of KCE Electronics Public Company Limited (“the Company”) No. 9/2018, held on September 11, 2018, passed a resolution approving the purchase of asset, a land, by Thai
enhance suitability for the characteristics of digital assets and types of associated risks On 15 August 2023, the SEC Board Meeting No. 13/2566 passed a resolution approving the principles for amending the
Digital Asset Business Law to enhance suitability for the characteristics of digital assets and types of associated risks On 15 August 2023, the SEC Board Meeting No. 13/2566 passed a resolution approving
information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit