The Securities and Exchange Commission (SEC), the Economic Crime Suppression Division of the Royal Thai Police (ECD) and the Thai Digital Asset Operators Trade Association (TDO) jointly organized a workshop to exchange information on cyber scams as well as identification and examination of crypto nominee accounts for representatives from public and private sectors. On this occasion, Ms. Jomkwan Kongsakul, SEC Deputy Secretary-General, gave welcoming remarks and presided over the opening c...
decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his
related risks and opportunities the organization has identified over the short, medium, and long term. C2.1a, C2.3, C2.3a, C2.4, C2.4a a) Describe the organization’s processes for identifying and assessing
to postpone the acknowledgment and the agreement to pay the civil fine by 30 days (to 3 October 2018), citing a busy schedule. But the SEC did not allow the postponement on the ground that it was
present best practices in integrating ESG information. “Guidance for Integrating ESG Information into Equity Analysis and Research Reports” covers identifying ESG information, assessing materiality of ESG
firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm
six months. After the client fell for the solicitaion and transferred in the money, Pisist recorded false information in the company's documents by identifying the transferred money as his older
company's shares, had prepared and submitted incomplete and inaccurate information. The said information was material for identifying the persons who had taken benefits from having access to or learning of
, and require the service users to disclose information on their digital asset wallets for the purpose of identifying the account owner. In addition, on 4 November 2021, the SEC Board Meeting No. 17/2564