every year. (2) in cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is inaccurate or inexact, such information
provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for
) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to
the investor prescribed in (1) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the
an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to public and the securities known by its business
rejected.Today, the Ministry of Finance denied a digital asset exchange licence for Coin Asset (website: coinasset.co.th) because a major change to the company's management ? i.e., three out of four directors
Subject : Clarification of the operating result. Dear sir, We, Unimit Engineering Public Company Limited (UEC), would like to clarify the change in the operating results for 2019 which has had a change of
applying for a digital asset exchange licence.? The applicants failed to meet the approval criteria regarding important work systems. For example, the systems for custody of client assets and Know Your
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s