. (Unofficial Translation) - 3 - Chapter 1 Risk Management System ______________________________ Clause 4. Securities company must have in place written policies and procedures concerning risk management to
, procedures and conditions (if any) for submitting an application and granting an approval: 12.1 The applicant must be a foreign auditor; 12.2 The applicant must have the following qualifications as specified
conditions (if any) for submitting an application and granting an approval: 1. The applicant must be a certified public accountant whose license has not expired pursuant to the rules specified by the
on Digital Asset Businesses, B.E. 2018 stipulates that issuing and offering digital tokens must be approved by SEC and digital tokens must be offered through digital token portals https://www.sec.or.th
rules on digital token offering for pre-ICO and private sale The Royal Decree on Digital Asset Businesses, B.E. 2018 stipulates that issuing and offering digital tokens must be approved by SEC and digital
/1146pe.doc Translation client’s asset , which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets
, and must organize a good internal control system for the custody of client’s assets. Such system must at https://publish.sec.or.th/nrs/2831pe.doc Translation calculating net asset value of fund or
asset , which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at https
) “ infrastructure asset ” means: (a) the https://publish.sec.or.th/nrs/5883pe.doc Translation client’s asset , which is independent from the securities trading unit or securities advisory unit, and must organize a
://publish.sec.or.th/nrs/3453pe.doc Translation client’s asset , which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of