secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the
secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
criteria Company Name Licensee Type Status Company Name : Licensee Type : Score Type : Anti-Corruption Status : Certified by CAC Declared to join CAC Ensure its compliance by parent company Assessment Type
งานในการกำกับดูแลการปฏิบัติงานของผู้ประกอบธุรกิจสินทรัพย์ดิจิทัล (compliance) ไม่รัดกุมเพียงพอที่จะทำให้บริษัท บิทคับ สามารถประกอบธุรกิจได้อย่างมีประสิทธิภาพ กล่าวคือ ไม่กำกับดูแลให้ฝ่ายผลิตภัณฑ์ติดตาม
risk management capacity and lower potential disruption to the overall market in compliance with international standards. Essentially, the amendment would require that the senior management of securities
2018 in compliance with the rules specified in the notification of the Capital Market Supervisory Board as a result of his failure to order or act in accordance with duties required to be performed
statement (Form 56-1) for the year 2018 in compliance with the rules specified in the notification of the Capital Market Supervisory Board as a result of his failure to order or act in accordance with duties
56-2) for the year 2018 in compliance with the rules specified in the notification of the Capital Market Supervisory Board as a result of his failure to order or act in accordance with duties required