. In addition, the draft regulation is expected to further clarify the scope of supervision of digital asset businesses because they are not under state oversight. The SEC conducted a public hearing on
August 2016, and an eight-month suspension on {B}, effective from 18 August 2016.Investment consultants are strongly advised to render services strictly within the scope of their responsibility with
derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws
securities. Upon findings of Wichai?s dishonest conducts, Jadesada had adjusted approach and scope of his audit performance into the transactions in 2008-2009 which was based solely on Wichai?s confession, the
appropriate for scope, quantity and complexity of their businesses. In addition, risk management structure and system must be equipped with mechanisms for check and balance, control, monitoring, and escalating
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
their licensed or registered scope of businesses by visiting the SEC website (www.sec.or.th). In addition, any persons who come across suspicious unlicensed activities can report the matter to the SEC
considered such report.Previously, the SEC had notified AIE and AI to rectify their 2014 financial statements as the auditors were unable to express opinions due to limitation on scope of audit imposed by the