Currently, rules on providing investor services and communication of securities company regarding offering for sale of high-risk or complex capital market products do not cover the provision of NC

conduct a suitability test on investors who wish to invest in digital assets before providing services to them. Additionally, the suitability test must be reviewed and updated at least once every two

order within the specified period. Moreover, despite being warned by the Competent Officer, they provided only partial, incomplete information and showed a delaying behavior in not providing the requested

securities for sale to investors, providing that proceeds given to the securities holders depend on a flow of receipts generated from the transferred assets.   

’ specific business model under more reasonable costs and without excessive burdens on business operators. Providing more license types also promotes business development and competition in the capital market

.   --------------------------------------*  Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities

investor by way of providing sufficient information for decision making and to reduce risks due to a high number of senior retail investors.Furthermore, the meeting also discussed important issues related

with the auditor in providing information and documents and submit the financial statements for Q1/2016, Q2/2016, and Q3/2016, which have been rectified and audited by the auditor, as well as the annual

regulations of SEC, for assurance the clients identity, providing suitable clients services and preventing any money laundering or any financial supports towards terrorist groups, which is also in accordance

partial investment, granting the right of objection on material issues to REIT, having guidelines to resolve conflicts between REIT and investment partners, and providing a statement of opinions on