Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and capital adequacy. There are also new provisions about the accountability of the
Whistleblower Audit committee About us Corporate Governance Code 2017 Detail Content Principle 4 Ensure Effective CEO and People Management Principle 4.1 The board should ensure that a proper mechanism is in
availability of proper criteria for evaluating the severity of findings identified by monitoring activities will ensure that the firms will be able to prioritize the handling of deficiencies in an appropriate
SEC proposes the amendment to Securities and Exchanges Acts in various aspects so that the law would be more flexible, able to keep pace with new development and suitable for actual use. It also aims
provide more appropriate protection to investors. According to the Ministerial Regulation Re: Granting of Approval for Undertaking Digital Asset Business (No. 2) B.E. 2563 (2020), which became effective on
determined by each Recognised ACMF member as appropriate and will depend on the Laws and Regulations of the Host Jurisdiction. Explanatory text o The Recognised Representative can have multiple entries
is relevant and reliable information to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and electronic forms) to ensure that it
Commission (SEC) is seeking public comments on draft regulations on the governance of the digital asset business operators (DA operators), aiming to ensure that the DA operators have an appropriate governance
and damages that may occur to the company and the stakeholders. It is therefore a duty of the company’s board of directors to ensure that the company has in place an appropriate and adequate internal
requirements under this Notification in order to instruct appropriate and corresponding practicality. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied