fiduciary responsibilities: 1. Adopt a clear written Investment Governance Policy 2. Properly prevent and manage conflicts of interest and prioritize advancing the best interest of clients. 3. Make informed
line with the United Nations Guiding Principles on Business and Human Rights (UNGPs) and integrate HRDD throughout the value chain. This also emphasized ethical recruitment practices to manage risks and
capital of 5 million baht, requiring to have proper management structure and adequate personnel for business operations. ICO portals must be well-prepared to due diligence ICO issuers, assess business
efficient technology systems, a system to review and assess customers’ suitability, which is very important as digital assets contain high risks. Once applicants for licensing are well-prepared and have
Companies (ASCO), the Association of Asset Management Companies (AIMC), the Thai Bond Market Association (ThaiBMA) and the Custodian Club – held a meeting to discuss and assess the readiness of business
operated by a third party. An auditor did not test the reliability of the report, even though it was used to assess the existence of consignment goods when he performed a test of detail in the substantive
on the public, a public hearing seminar is usually held. In this connection, although the SEC does not have a formal procedure to assess costs of compliance with the regulation, related input is
to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the
company to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising