servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
executives? and personnel's capability, and promotion of innovation and responsible business operation, and (3) to monitor and disclose information by ensuring appropriate risk management and internal control
. For example, data storage system, management system and custody of client assets. This is to promote flexibility in business operation while ensuring that supervisory guidelines are appropriate and
opportunities, while ensuring that investors would benefit from having professional investment consultants or investment planners provide securities and derivatives trading services according to investors? pre
ensuring that listed companies are capable of fully complying with relevant criteria, and sufficiently supporting investment decisions. Moreover, financial advisors give opinions to shareholders when listed
digital tokens. The ICO portal's duties include performing due diligence on the characteristics of digital tokens to be offered and qualifications of issuer, and ensuring completeness and accuracy of
under the regulations of the Capital Market Supervisory Board.?Independent directors play a vital role in ensuring corporate governance of business operators and utmost interest of customers. The SEC
companies are instructed to comply with the Guidelines for Prevention and Control of the Novel Coronavirus Disease 2019 (COVID-19) in Case of Holding Meetings, Seminars or Other Activities of Similar Nature
Bangkok, February 23, 2015 ? The SEC is seeking public comment on proposed revision of rules governing operational control and information technology (IT) security of the securities companies and
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC gives priority to the audit quality control system of audit firms in the capital market, and regularly inspects and issues inspection