Office shall have the power to prescribe rules, conditions and procedures in detail related to the matters specified in this Notification for clarity in practice and for the SEC Office’s examination of the
rules, conditions, and procedures in detail relating to the matters specified in this Notification to provide clarity on compliance and to facilitate the inspection of such compliance by the SEC Office
rules, conditions and procedures in details concerning the provision of this notification to ensure the clarity of practices and to facilitate the inspection process of the Office. Clause 21. In case
for more clarity in practice and for the SEC Office’s examination of such matters. Clause 31 In cases where the SEC Office finds that a securities company violates or fails to comply with this
Notifications for the purpose of clarity in practice and for inspection by the SEC Office. Clause 34 In the case that the SEC Office finds that a derivatives broker violates or fails to comply with this
identified the Office shall have the power to prescribe rules, conditions, and procedures in details pertaining to related subject as prescribe in this Notification in order to promote clarity in practice and
disruptions Examples of emergency incidents are classified into a group for clearness and being a guideline for intermediaries for analysing possible impacts of various crises in order to specify more extensive
. · Indications that the client might be involved in any criminal activities. · The reasons for the proposed appointment of the firm and nonreappointment of the previous firm. · The identity and business reputation
all services performed for clients, including services performed by entities closely aligned through common employment and other means, and evaluating whether any of those services might impair
-trade information) อย่างเพียงพอ รวดเร็ว และเหมาะสม (transparency) (4) ระบบบันทึกข้อมูลเกี่ยวกับการซื้อขายสินทรัพย์ดิจิทัล โดยเฉพาะข้อมูลที่เกี่ยวกับการทำรายการซื้อขายสินทรัพย์ดิจิทัล เพื่อติดตามและตรวจสอบ