asset exchange, kept customers’ digital assets in digital wallets http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 4/2021 Dated 21/12/2021 Bitazza Company https

to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that during September 15, 2021 to May 7, 2022, Zipmex kept and maintained digital assets of

analysis which the investment advisory company deliver to a customer; (4) an advice for a customer, except in case of using a tape recorder in giving advice which shall be kept for the period of not less

) an advice for a customer, except in case of using a tape recorder in giving advice which shall be kept for the period of not less than two months from the day following the date of recording; however

of directors or the audit committee of company. Such plan shall compose of clear procedures, method and duration of work so as to enable personnel and units to perform their duties under (a); (c

the board of directors or the audit committee of company. Such plan shall compose of clear procedures, method and duration of work so as to enable personnel and units to perform their duties under (a

annual inspection plan which is approved by the board of directors or the audit committee of company. Such plan shall compose of clear procedures, method and duration of work so as to enable personnel and

investment loss must be provided and records on giving advices to clients must be kept.

decisions on the client's behalf for a period of time. {A} admitted that the client allowed her to make trading decision to adjust the transferred securities from another securities company and she kept

or another person and caused damage to ACAP as well as kept incorrect or inaccurate accounts to deceitfully deprive ACAP of their rightful benefit. This case is under consideration of the public