but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public
Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed
website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid
, Bitazza failed to provide the management and operational data recording system by failing to present appropriate loan process and agreements to the SEC office. DAB Act S.94 in conjunction with 30
Zipmex Company Limited Between November 9, 2023 and May 27, 2024, Zipmex Company Limited ("Zipmex"), a digital asset exchange and broker, failed to provide effective systems for selecting
9.12% Operating results for each business segment are shown below: 1. Manufacturing and Selling of Special Cutting Tools unit: THB million 2020 2019 Change (THB million) Change (%) Revenue from External
written consent from clients for the appointment of members as derivatives trading agent whereby the clients agree to [i] inform and provide members with information that allows unique identification of the
year to September 1st to the last business day of each year. This is to provide greater flexibility for business operators and capital market business personnel in applying for an approval renewal
service platforms that correspond with consumer behaviors today, including new services to sell mutual fund units. Currently, there are businesses that wish to provide financial services in this area
information service was popular among its users.However, SEC has continuously improved and developed the data to provide services to the public by providing a variety of information such as fund raising