Remedying Identified Deficiencies 1 Does the firm evaluate the effect of deficiencies noted as a result of monitoring process and determine whether they are either 1) Instances that do not necessarily

Reference /Guidance Notes Description B1 Does the firm evaluate the effect of deficiencies noted as a result of monitoring process and determine whether they are either 1) Instances that do not necessarily

pros and cons and the costs of compliance ​4. ​Seek approval for the measure from SEC Board/CMSB/SEC Office ​5. ​Conduct public consultation on the measure: focus group meetings/public hearings ​ ​This

firm evaluate the knowledge and expertise of engagement team required to perform an engagement prior to accepting an engagement? If no, describe how the firm determines that it can complete the

in money laundering /criminal activities; • reasons for proposed appointment /re-appointment. 6 Does the firm evaluate the knowledge, expertise of engagement team and sufficient time required to

considered and validated KUB to be traded in the digital asset exchange by non-compliance with the Listing Rule approved by the SEC and disregard for the conflict of interest prevention measure. DAB Act S

SEC Secretary-General Ruenvadee Suwanmongkol announced that SEC has issued a measure allowing asset management companies to borrow money or enter into a repurchase transaction agreement to better

in the digital asset exchange by non-compliance with the Listing Rule approved by the SEC and disregard for the conflict of interest prevention measure. DAB Act S.94 Settlement Committee Meeting No

trading in the digital asset exchange by non-compliance with the Listing Rule approved by the SEC and disregard for the conflict of interest prevention measure DAB Act S.94 Settlement Committee Meeting

digital asset exchange by non-compliance with the Listing Rule approved by the SEC and disregard for the conflict of interest prevention measure. DAB Act S.94 Settlement Committee Meeting No. 5/2022