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

มีนัยสำคัญ (substantial control) พระราชบัญญัติหลักทรัพย์และตลาดหลักทรัพย์ พ.ศ. 2535 ในเรื่องการเข้าถือหลักทรัพย์เพื่อครอบงำกิจการจะเข้ามามีบทบาทในการกำกับดูแล โดยมีหลักสำคัญประการหนึ่งมุ่งให้ความ

Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)

skill, care and diligence; (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4

diligence; 2 (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4) financial

control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4) financial prudence An intermediary shall

information and/or conducting feasibility analysis in this regard. Given the substantial amount of the proposed capital increase, not exercising subscription rights may result in control dilution of

Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company

management of IT resources, including criteria to identify IT priorities, that takes into consideration the company’s business model. ​Principle 6 Strengthen Effective Risk Management and Internal Control

control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the