strictly monitor and supervise their investment consultants to follow such requirements, the SEC may consider that they have inefficient compliance systems and may pursue further actions.?The trading volume
appropriate and sufficient personnel, communication system, customer service system, and internal supervision system, and these systems must be compatible with the additional technology apart from the
, and appropriate internal supervision system. Moreover, the systems must be compatible with the additional technology apart from the regulations in standard criteria for conducting business. The
services that may involve with electronic units named "DB coin" or "DB token", blockchain systems and other businesses.Those actions might be considered as persuading and issuing newly issued securities
and the settlement and delivery systems must be efficient.SEC disseminates the public hearing document on this matter at SEC website: https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=546
businesses development and supervision. The MoU aims at promoting cooperation on development of derivatives businesses, exchange of information on derivatives business operators, trading systems and research
real-life environment with real customers while complying with the regulations and conditions suitable for the experimenting period, for example, the requirement for standard systems and the maximum
the Royal Gazette, respectively. Meanwhile, the Association of Investment Management Companies (AIMC) would prepare a notification of investment unit redemption systems, to be approved by SEC. This is