place of trading. In addition, the regulation writing method has been simplified through the use of diagrams and tables to facilitate asset management companies’ better understanding and proper
securities firms, investor contacts and clients. Strict rules must be complied and securities firms must put in place necessary systems and tools for maintaining records of clients orders that include voice
HouseStyle (Unofficial Translation) EMERGENCY DECREE ON DIGITAL ASSET BUSINESSES B.E. 2561 (2018) Linklaters (Thailand) Ltd 20th Floor Capital Tower All Seasons Place 87/1 Wireless Road Bangkok 10330 https
any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission SorThor. 42/2540
service for share subscription, for example, would be allowed to use a suitable method for account opening if they could prove that adequate safeguards against impersonation risk have been in place under
applicant and group of parent company. {A}'s actions were considered as failure to comply with the Notification of the SEC Office concerning approval of financial advisor and scope of performance while {X1
are comparable to this Notification. Chapter 1 Risk Management System ______________________________ Clause 4. Securities company must have in place written policies and procedures concerning risk
cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. The Office of the Securities and Exchange Commission Notification of the
Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the