asset business operator under the SEC’s supervision and is required to comply with the Digital Asset Business Law along with any relevant rules and regulations established under the law. This
, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana
company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that {A}, {B} and {C} made securities trading decisions on the clients? behalf. The recorded
Supervisory Board No. Tor Thor. 60/2561 Re: Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party _____________________ By virtue of Section 16/6 and Section 113
Controls) การป้องกันมิให้มีการแสวงหาผลประโยชน์จากการปฏิบัติหน้าที่โดยมิชอบ วัตถุประสงค์ เพื่อแสดงให้เห็นว่าบริษัทมีการกำหนดนโยบายและมีมาตรการป้องกันมิให้พนักงานของบริษัท แสวงหาประโยชน์โดยมิชอบ ไม่ว่าจะโดยใช้
Supervisory Board No. Tor Thor. 32/2559 Re: Rules, Conditions, and Procedures for Operation of Securities Clearing Houses and Central Securities Depositories By virtue of Section 16/6, Section 223/3, and
Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The supervision of
Exchange Commission Governing Rules, Conditions and Procedures for Appointment and Conduct of Fund Manager B.E. 2552 (2009) __________ By virtue of Clause 3 (1) and (2), Clause 11, Clause 19(6) and Clause 20