SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...

; asset systems that could not segregate the customers' assets from Satang's without doubt. DAB Act S.31 Settlement Committee Meeting No. 12/2022 Settlement Committee Order No. 20/2022 Dated 07

of Zipmex’s customers that were deposited to earn returns in Thailand in a way that Zipmex, without doubt, could not segregate digital assets of the customers and may use such digital assets for any

Zipmex’s customers that were deposited to earn returns in Thailand in a way that Zipmex, without doubt, could not segregate digital assets of the customers and may use such digital assets for any other

, and take any actions with, their assets, securities trading accounts and banking accounts might lead to misconduct opportunities. Should investors have reasons to doubt the operation of any investor

revenue with the SEC, they did not raise any observation in documents supporting the said clarification despite various factors indicated doubt on document authenticity;3. For the filing, the financial

structures indicate that it is acting as a business unit within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be

within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be practicable to employees of the securities company

indicate that it is acting as a business unit within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be practicable

or not complying with any significant approval requirements for the offering of trust unit within the period of 5 years before applying for the offering; (2) pose no reasonable doubt to its ability to