and financial status of securities firms to cope with market volatility resulting from ongoing global financial crisis. Additional measures for client asset protection were also considered. SEC
derivatives broker. “Derivative exchange” means any derivative exchange licensed by the Securities and Exchange Commission. “Initial margin” means the minimum amount of asset a customer must deposit to secure
systems for custody of client assets and Know Your Customer (KYC) were inconsistent with the standards accepted by the Anti-Money Laundering Office.As a result of the application rejection, Coin Asset
Your Customer and Customer Due Diligence : KYC/CDD") บกพร่อง ทำให้มีความเสี่ยงที่ลูกค้าอาจจะมิใช่เจ้าของบัญชีหรือผู้รับประโยชน์ที่แท้จริง พ.ร.บ. หลักทรัพย์ฯ ม.133 วรรคสอง การประชุมคณะกรรมการเปรียบ
sufficient and effective system for Know Your Customer and Customer Due Diligence : KYC/CDD procedure between October 4, 2018 and April 11, 2022 which violated section 133 paragraph 2 of the Securities and
December 2023 sent a letter to the company, requiring a written clarification on the issue, which the company failed to provide. Moreover, there may be considerations regarding offenses related to client
connected to the internet when conducting transactions only (cold wallet) less than 90 percent of the customer's total digital asset value for 33 days. DAB Act S.30 Settlement Committee Meeting No. 7
, kept customers' digital assets in digital wallets connected to the internet when conducting transactions only (cold wallet) less than 90 percent of the customer's total digital asset value for
broker, by itself or by assigning overseas derivatives business operator as agent, may provide client with service of submitting derivatives trading order in overseas derivatives exchange. Clause 4. In