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. In this regard, it shall take into account the following factors as well: (1) the result of the client categorization; (2) the result of assessing suitability; (3) fundamental recommendation in order
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
, conditions and procedures as specified in the notification of the SEC upon the recommendation of the Bank of Thailand.
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
earlier cycles, with significant progress in two key elements of quality control: acceptance and continuance of client relationship, and human resources. On the individual audit engagement level, the
Exchange 2 ; (ii) Digital Asset Broker3; and (iii) Digital Asset Dealer4. Those who intend to operate a digital asset business shall be approved by the Minister of Finance upon recommendation of the SEC
or sell any security. This material should not be viewed as a current or past recommendation or solicitation of an offer to buy or sell any investment products or to adopt any investment strategy. The