records of such activities in the form of recorded tape or electronic data storage. Clause 20 In trading securities with a retail client , a securities company shall prepare evidentiary documentation to
trading of the client, and the controlling person of the client, and consider and arrange sufficient information or evidentiary documentation to be informed of the client’s financial status and debt-paying
after falling victim to scams. The SEC also coordinated with social media platform providers to block accounts suspected of fraudulent investment content. The public should exercise caution and stay
Community (AEC), and the advancing digital age amid the rapid pace of technological advancement, thus leading to changing customer behavior, regulatory changes and life platform-driven competition. Given the
)** requirement for assets held in hot wallets and cold wallets to align with the proportions and sources of digital asset custody for clients. Additionally, there would be NC requirement for digital asset trading
requires proper license under the Digital Asset Business Law: (1) having a digital platform displayed, in whole or in part, in the Thai language; (2) having a digital platform registered by using a
financial transactions: (1) shares of an investment company; (2) unit trust certificates; (3) instruments or evidentiary documentation showing the right in the assets of collective investment schemes. “CIS
According to the SEC’s findings, CoinEx platform provided services as a digital asset exchange to facilitate trading and exchange of digital assets for a fee. It also solicited and advertised
Trading Platform - ETP) เป็นธุรกิจหลักทรัพย์ และแนวทางการเข้าร่วมโครงการทดสอบและพัฒนานวัตกรรมสำหรับการให้บริการดังกล่าว https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=347