trading orders through email, investor contact should confirm such orders by taping phone conversation to ensure that the client has actually ordered to trade securities for record keeping."
. Check and balance system. By appointing a person who will monitor and inspect for the misuse of the client’s assets such as: 3.1 Compliance or other assigned person who will inspect and verify the
the misuse of the client’s assets such as: 3.1 Compliance or other assigned person who will inspect and verify the movement of money and assets of the fund, and approve money and asset transferring for
Suppression Division of the Royal Thai Police for offenses liable to be unlicensed digital asset business operations under the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018) to pursue legal
wish to pursue. In such case, the paid license fee will be calculated as a discount for the new license fee. Financial institutions established under specific law are also eligible for License E and PF
provided by the Monetary Authority of Singapore (MAS) and Securities and Futures Commission, Hong Kong (SFC) in gathering relevant facts and evidence which consequently help the SEC to pursue legal action on
of 500,000 Baht each. In this regard, the SEC will also pursue administrative action in relation to capital market personnel against Chaninan in this matter.Information contained in this news release