Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar
aims to provide better understanding in connection with the implementation of the ACMF Pass framework. In addition, it provides operational guidance for foreign Professionals and related firms on how to
out to the public as available to provide services as a broker or an agent for any person with respect to the trading or exchange of digital assets in the normal course of business, in consideration of
person who provides services or holds itself out to the public as available to provide services as a broker or an agent for any person with respect to the trading or exchange of digital assets in the
companies comply with the following key regulations: 1) To provide several investment plans for members to choose from, including a qualified default policy for those without expressed preference; 2) To
However, the submitted information still lacks main points to accompany consideration. The SEC has therefore instructed Zipmex in writing to provide complete details of the incident, which includes
quality objective as mentioned in TSQM1 and 2? If not, please provide the details of the minimum objectives that are absent and describe any reasons for their absense. 1.2 Does the audit firm completely
allocation for a client are relatively subjective and focus primarily on risk preference (i.e., an investor’s aversion to risk) and ignore risk capacity (i.e., an investor’s ability to assume risk). In
conditions specified by the SEC Office, the SEC Office shall disregard the underlying fact under Paragraph 1 in support of its consideration of subsequent applications. If the SEC Office considers that the
Lifecycle Thailand × Know Your Client Process– Standard risk questionnaire × Focus primarily on risk preference (i.e., an investor’s aversion to risk) and ignore risk capacity (i.e., an investor’s ability to