benefits from investors by abusing their duty performance no matter with or without clients? consent, and must not ask for or accept any special benefit other than what is properly earned from the securities
. However, Mr. Suphanan failed to perform his duty as directed and submitted a clarification letter to the SEC. The SEC considered his explanation inadmissible. The SEC has viewed that Mr. Suphanan’s
assets. Under the royal decree, they must obtain licenses to operate digital asset businesses from Ministry of Finance. SEC has a duty to standardize business practices to ensure that operators are well
asset businesses went into effect on 14 May 2018.“SEC has a duty to standardize business practices to ensure that operators are well-equipped in terms of management, work systems, particularly
(segregation of duty) ระหว่างผู้รับผิดชอบในการดูแลกระเป๋าเงินดิจิทัล (wallet) และผู้รับผิดชอบในการสั่งซื้อหรือขายหรือโอนสินทรัพย์ดิจิทัล หรือการจัดเก็บสินทรัพย์ดิจิทัลใน wallet ของผู้รับฝากสินทรัพย์ดิจิทัล
consecutive days. In addition, digital asset business operators are required to maintain net capital in accordance with the specified conditions to handle potential risks and liabilities from duty performance
Pursuant to Section 89/25* of the SEA, the auditor who perform an audit in accordance with the auditing standards has the duty to report to the Audit Committee of the securities company** or the
Bangkok, November 17, 2014 ?The SEC revoked the approval of Nakul Chaiyanil, a former fund manager for ten years for failure to perform his duty with honesty in relation to management of 101 Montri
/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC therefore suspended {A} from his duty as the approved securities investment consultant for 3
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant