ผู้ที่ไม่สุจริต การตรวจสอบ source code ของ smart contract ที่จะใช้ enforce สัญญาโดยอัตโนมัติเทียบกับ white paper การมีกระบวนการเพื่อทำความรู้จักตัวตนของผู้ลงทุน (Know-Your-Client) การดูแลไม่ให้ผู้
) Elevating the e-KYC standard, which SEC would issue a guideline for the licensed entity to introduce the technology in getting to know the clients, to strengthen the assurance on their Know Your Client
warned the three branch managers against improper duty performance. Also, {X1} has already paid for the compensation in full for each affected client. Owing to this case, the SEC has found that {X1}'s
that they are truly used by the banks in charge to confirm unit subscription. In case of doubts, investors should contact the banks’ client service center or call SEC 24-Hour Public Service Center
securities trading, for example, client investment limits, consideration of collateral quality, and prohibition of Non-Voting Depositary Receipt (NVDR) investment by Thai entities. The SEC has also
where the company may be liable to an offense related to client assets, which may cause damage to the clients, pursuant to the resolution of the SEC Board. Zipmex submitted clarifications on the matters
technical regulation; (2) damage caused by such [unlawful] act which, in general, shall be considered from- (a) level of damage to financial or capital market or client or any other person; (b) damage
ลงทุน (client asset ) 4 (11) ดําเนินธรุกิจและควบ https://capital.sec.or.th/webapp/phs/upload/phs1285314557LBDU_s01.pdf 20014038.pdf โรงแรมด้วยกลยุทธ์ asset -light โดยกำรรับ บริหำรและสญัญำเช่ำด ำเนินงำนใน
could influence the client’s investment decision. She also gave inaccurate information related to the fund’s net asset value (NAV), redemption price and offer price to the client; (3) In the case of {C
operators warnings regarding client asset keeping on their websites and applications.The SEC views that digital asset investors should receive notifications in order to be aware of and able to use or store