timeframe, or if the net capital falls below 60 percent of the minimum requirement for five consecutive days, digital asset operations must be suspended. Business operator must notify customers and follow
and Exchange Commission No. Kor Thor 19/2561 Re: Rules, Conditions and Procedures for Undertaking of Digital Asset Businesses dated 3 July 2018: Clause 16/1 A derivatives business operator shall have
are sufficient and correct before forwarding them to the Board of Directors for consideration. - Review the internal control system to oversee that the internal audit procedures are adequate
procedures to ensure that investment consultants regularly distribute investment research to investors. Lack of investment research on small and medium market capitalization listed companies was concerned by
conflicts of interest arising due to the relationships that may compromise or appear to compromise the independence and objectivity of credit rating operations; Transparency and timeliness of ratings
submit the application and supplementary documents together with two sets of such document copies to the SEC Office in accordance with the format and procedures specified in the electronic work system of
and collect fees or service charges in accordance with the rules, conditions and procedures as specified by the board of directors of the Securities Exchange. In operating the business of securities
investment advisory company, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and
. FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of