internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to
-trade information) อย่างเพียงพอ รวดเร็ว และเหมาะสม (transparency) (4) ระบบบันทึกข้อมูลเกี่ยวกับการซื้อขายสินทรัพย์ดิจิทัล โดยเฉพาะข้อมูลที่เกี่ยวกับการทำรายการซื้อขายสินทรัพย์ดิจิทัล เพื่อติดตามและตรวจสอบ
-trade information) อย่างเพียงพอ รวดเร็ว และเหมาะสม (transparency) (4) ระบบบันทึกข้อมูลเกี่ยวกับการซื้อขายสินทรัพย์ดิจิทัล โดยเฉพาะข้อมูลที่เกี่ยวกับการทำรายการซื้อขายสินทรัพย์ดิจิทัล เพื่อติดตามและตรวจสอบ
means short-term investments with high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or
acceptable level on a continued basis by clarifying significant risks. In this regard, the Company may disclose the full version of the policy, operational framework and risk management plan on the Company’s
stipulated under the first paragraph, it shall be taken account of nature, scale, quantity, complexity and diversity of businesses and services, as well as acceptable level of risks relevant to such businesses
person who is assigned by the board of directors to be the highest level responsible person in the management of a company. “ head of department ” means a person responsible for the work in the
to be the highest level responsible person in the management of a company; “ head of department ” means a person responsible for the work in the departmental level of a company; “ branch manager
account of nature, scale, quantity, complexity and diversity of businesses and services, as well as acceptable level of risks relevant to such businesses and services. 2 In case where any material change is