? intention and brought about disputes between the clients and the investment consultants as well as the securities firms. Therefore, the SEC urges collaboration among investors not to make such authorization
-your-client and due diligence, custody of clients? assets and transaction verification to ensure that client services are efficient and to prevent exploitation of securities firms for improper gains
after year, audit firms should continue to improve their auditing techniques along with policies and methods, and also take steps to develop a root cause analysis to have better understanding on factors
, particularly transaction payment rules that specify direct payments to securities firms only, and in case of check payments, they must be endorsed to the securities companies. Transferring money to personal bank
keeps compiling information of affected firms in the midst of this ongoing flooding situation for further consideration on further reliefs. In addition, the SEC has coordinated with the SET and related
are advised to take precautions when considering to use the services of unlicensed digital asset business operators, as they may not be protected under the governing Thai laws and may fall victim to
suggests that digital asset transactions be executed through licensed digital asset business operators that are supervised by regulators to ensure that such investment is protected by law. In this regard
private fund from being seized by legal process if asset management companies are in debt, SEC has proposed to revise the related regulations in order that the investors’s assets could be protected if