, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective compliance system
คู่มือการปฏิบัติงาน (Compliance manual) 06/02/2544 4. หนังสือเวียน ที่ ธ.(ว) 31/2546 เรื่อง ซักซ้อมความเข้าใจเกี่ยวกับบันทึกการให้คำแนะนำลูกค้า 25/12/2546 5. หนังสือเวียน ที่ ธ.(ว) 3/2546 เรื่อง ซัก
Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing
causing the coin can only trade on Bitkub’s exchange and experiencing a very unusual price adjustment. Since Bitkub’s compliance system failed to supervise the product department to monitor the properties
declare the corporate intent to serve the public and capital market stakeholders with integrity, transparency and corporate governance, on 8 May 2019. The SEC Declaration of Intent is in compliance with
operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring
for IEC’s failure to prepare and submit an accurate annual report for the year (From 56-2) for the year 2018 in compliance with the rules specified in the notification of the Capital Market Supervisory
for IEC’s failure to prepare and submit an accurate annual update information statement (“Form 56-1) for the year 2018 in compliance with the rules specified in the notification of the Capital Market
considered and validated KUB to be traded in the digital asset exchange by non-compliance with the Listing Rule approved by the SEC and disregard for the conflict of interest prevention measure. DAB Act S