servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9 In case the association
for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9 In case the association determines the guideline
this Notification, the intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9
promoting market conduct as an organizational culture; (2) product development that is suitable for customers and sales staff abilities, as well as sales channels, operational systems and control; (3
Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
punishment of 2-year imprisonment and 8,000,000 Baht fine. Since the defendant pleaded guilty, the Court reduced the punishments by half, resulting in 1-year imprisonment and 4,000,000 baht. The jail term was