intermediary shall identify clearly 7 that such branch will provide services through online only; (2) prepare readiness of sufficient personnel and other resources for operation of a branch office, including
licensing manual on digital asset businesses has been created in compliance with the Licensing Facilitation Act B.E. 2558 (2515) to clearly specify the process and duration for considering application
manual on digital asset businesses has been created in compliance with the Licensing Facilitation Act B.E. 2558 (2515) to clearly specify the process and duration for considering application approval and
investors to carefully and prudently study the information from the complete version of summarized significant features of securities (Fact Sheet) to clearly understand the product and appraise own risk
derivatives without investment limit. Nonetheless, asset management companies are required to put in place a proper risk management system for risks associated with derivatives investment and clearly disclose
bank accounts used to deposit customer cash were under the company's name without the word “for customer”. Accordingly, it was not clearly indicated that the accounts are held by the company for the
, objectives and operational procedure clearly, thoroughly and obviously; (2) determining [i] organizational structure and [ii] roles, powers, duties and responsibilities of directors, executives and other
A CRA should ensure that sufficient employees and financial resources are allocated to monitoring and updating all its credit ratings. Except for a credit rating that clearly indicates it does not
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities