same level of service and protection as when their employees perform duties in the office.” ------------------------------------Remark: *Regulatory Guillotine is the regulatory review of the existing
Earlier on 1 July 2021, the SEC Board Meeting No. 13/2564 passed a resolution approving a review on the digital asset business regulations to specify digital asset custodial wallet provider as a
: * Regulatory Guillotine is the regulatory review of the existing laws and regulations. The reviewed laws and regulations that are not necessary or do not keep pace with situations or remain obstacles to
the client is legally capable for executing legal acts with digital asset business operators, and review the KYC to ensure that the client’s information is updated and accurate when it appears that the
information that every company has to prepare to respond to inquiries from the investing public. We need to review the quality of MD&As to ensure they have illustrated essential information correctly
according to the asset allocation plan, (4) monitoring and rebalancing the portfolio, and (5) providing consolidated reports for customers’ review.“The business operators therefore play a highly important
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
) implementing the portfolio according to the asset allocation plan; (4) monitoring and rebalancing the portfolio; and (5) providing consolidated reports for customers’ review;2. The wealth advice service
following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of correction, systematically. Chapter 2 Establishment of Policies
the following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of correction, systematically. Chapter 2 Establishment of