systems related to receiving and handling complaints, channels to communicate with customers as well as the number and ability of personnel for Bitkub to operate its business efficiently. DAB Act S.30
turnover in busy season? 4 How does the firm address concerns regarding the competence and capabilities of engagement team members, including ensuring they have sufficient time to perform their
, please describe 2 How the firm’s job evaluation / appraisal process works? How often job evaluation made? 3 Does the firm’s appraisal process gives due recognition and reward to competence, compliance with
of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3
promoting the country’s economic capability through technological and digital support. Meanwhile, the SEC performs duties in its full ability to continuously strengthen trust and confidence in the Thai
and to audit planning for specific industries, such as construction, manufacturing, and services, were also communicated during these events. One of the common deficiencies found from past inspections
relevant regulatory or reporting requirements, or the ability to gain the necessary skills and knowledge effectively; - The firm has sufficient personnel with the necessary competence and capabilities
business that could have an impact on its ability to fulfill its obligations on the debt securities or affect its solvency. Include discussion about the nature and results of any material reclassification
their ability to https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional%20Investor%20Responsib...