not allowed to provide or support deposit taking and lending services to prevent possible damage to digital asset investors and the public https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9892 SEC
Digital Asset Business Emergency Decree. Only providers who have obtained relevant licenses under the law are allowed to provide services related to digital asset trading, exchange, depository, transfer
types of digital asset business operators to provide the best benefits for clients. The amendment becomes effective on 1 February 2023. On 10 November 2022, the SEC Board Meeting No. 15/2565 passed a
Advisors are Broker/Dealers. • Broker/dealers must obey “suitability” standard of conduct but not “fiduciary duty” • Broker/dealers are regulated by FINRA REGULATORY REQUIREMENTS Provide regulator with
firm follows to provide reasonable assurance that new or revised regulations, interpretations, or rulings on independence, integrity, and objectivity matters considered appropriate for its practice? 12
highlighted that many overseas DA operators had liquidity problems and risks exposure on their asset keeping, the SEC, on 30 December 2022, had therefore instructed DA operators to provide their clients with
Community, inequality reduction, and aging society. Key initiatives to be launched in 2014 are, for example, introduction of professional wealth advisor to provide a service of personal asset allocation and
opportunities in offering mutual funds with a variety of investment policies such as mutual funds for education, health and post retirement to provide investors with more investment alternatives. Those mutual
opposed to the current requirement of investment proportion only; (3) Requiring the token issuer to take additional duties in managing assets and to provide a mechanism for protecting
the audit will be objective and document the rationale for that conclusion? 11 Were the procedures the firm follows to provide reasonable assurance that new or revised regulations, interpretations, or