of clients’ assets in digital asset businesses to enhance investor protection The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on quality and reliability
Securities and Exchange Commission which each type of customers may invest or possess. Clause 8. In case the customer wishes to put his or her property into the custody of the derivatives fund manager, the
is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities - Banking - Digital Assets https
regulations on custody of clients’ assets in digital asset businesses to enhance investor protection The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on quality
number of their clients. The SEC is therefore conducting this public hearing on the proposed amendments to ensure that the qualifications of digital asset business operators are appropriate and
system, all mobile banking applications, and government disbursement mechanisms. Financial institutions continue to provide normal services for both retail and corporate clients without disruption. The BOT
the proposed amendments to be more appropriate and mitigate unintended consequences for auditors and their clients, specifically businesses in the capital market. The SEC is therefore seeking public
depository receipts (DRs); and (3) Revising the definition of special debt to include other outstanding debts such as debts resulting from delayed payments for securities sale to customers as a result of an
Derivatives Advisor (No. 3) dated 1 December 2023: https://publish.sec.or.th/nrs/9992s.pdf; 3. The Notification of the Capital Market Supervisory Board No. Tor Thor 41/2566 Re: Provision of Services to Clients
) Board governance structure: Requiring DA operators – except DA advisors and the DA operators holding client assets at an amount less than 500 million baht and having less than 10,000 clients – to appoint