) before approving an account opening to ensure that 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
provisions, conditions, and procedures to protect the investors or to ensure the clarity and uniformity in operating standards in the following matters : 1) The sale, redemption, an increase or reduction of
the days of the significant errors in the valuation (at least one satang and worth at least 0.5% of the correct value or price); (2) Take any actions to ensure that the investors are informed the
securities offering and ongoing process which includes pre-fundraising screening, effective trading monitoring system, and legal enforcement function. In addition, more efforts will be made to ensure that the
provision of services to customers’ wallets as well as the drafted amendment to the regulations for custody of customers’ assets, to ensure proper, standardized and effective supervision of digital asset
to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and electronic forms) to ensure that it https://www.sec.or.th/TH/Documents
malpractices of any SEC official, you can lodge a complaint together with relevant facts and evidence via the cahnnels below (24 hours everyday). The complaint will be handled by a special committee to ensure
proactively review the risk management approach and policies annually or with any significant business change; g) ensure a formal, fair and transparent process for nomination, election and evaluation of