well as post-sales processes, by requiring intermediaries to improve effectiveness of internal communication with their salespersons and laying down effective monitoring system to ensure service quality
customer due diligence (CDD) to ensure a more comprehensive assessment aligned with customers’ income and occupation profiles, alongside ongoing monitoring of investment behavior. Where red flags are
business operation. Meanwhile, Senior Management ensures that policies, processes and systems for controlling, monitoring and reporting risks and capital are in place whereas segregation of duties and
shall be in custody of a third party, the intermediary shall provide efficient system for receiving and delivery the client ’s assets between the intermediary and such third party, and for monitoring the
custody of a third party, the intermediary shall provide efficient system for receiving and delivery the client’s assets between the intermediary and such third party, and for monitoring the consequence
https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8811 SEC public hearing on proposed amendments to the digital asset business licensing process and draft regulations concerning creditability of
like to continue such https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8811 SEC public hearing on proposed amendments to the digital asset business licensing process and draft regulations concerning
://publish.sec.or.th/nrs/6564p.doc monitoring.doc Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures
of the supervision and monitoring of the activities and businesses relating to digital assets and the transparency of such activities and https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act