Re: Investment in Fund’s Assets (No.14)

public by such securities companies and derivatives broker. In this regard, the SEC Thailand assumes no responsibility for verification, examination or certification of completeness, accuracy and update of

Secretary-General, said: “Over the years, the SEC has been working closely with the TDO and digital asset business operators to prevent the misuse of digital assets as a channel for money laundering by

requirement in the identification and verification process for the onboarding clients who already have relationship managers elsewhere outside the premise or the clients who have a life-time ID card without

system instead of hardcopy submission, (2) discontinuation of reports to the https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9132 ’ digital assets under BX’s control or possession to other wallets

) acceptance of reports via electronic system instead of hardcopy submission, (2) discontinuation of reports to the https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9132 ’ digital assets under BX’s control

) System to prevent damages to private fund assets, as well as related information and documents, and controlling system for acquisition and disposition of private fund assets; (c) System for verification

) System for verification and reconciliation of private fund assets to ensure accuracy and completeness; (Translation) -4- (d) System for asset inventory demonstrating details and amount of private fund

verification and examination. CHAPTER III Custody of client’s assets Clause 17. A securities company shall segregate the assets under its custody as customer’s assets not less than the followings: (1) money; the

) -5- Clause 16. A securities company shall keep the information and documents related to the custody of client’s assets at least two years for the Office’s verification and examination. CHAPTER III