) 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.?
under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand (issued by CIS Operator
%. Domestic sales decreased by 9.24% due to the decrement in sales volume of B2B and local distributors while export sales increased by 11.24% from a successful of distribution expansion in China. The Company
Guarantee (“LG”) from one local commercial bank to guarantee the usage of electricity in production process of the Company. The tenor of first SBLC is 9 months and able to rollover for the whole tenor of main
Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand ( issued by CIS Operator ) [ ] 4
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
Following the SEC's monitoring and examination of Bitazza operations, it was found that the company has significant deficiencies in critical systems related to the operation of digital asset business