examination on suspicious facts. Overall, the number of complaints against unlicensed securities or derivatives businesses is on a gradual decline, and 75 percent of the cases is beyond the SEC?s authority, for
advisors, and derivatives business operators are required to report suspicious transactions as specified by the law to the AMLO; which has the power to examine the report and information relating to
on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or inappropriateness with conditions of such intermediary ’s business; (c) is
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
investment advisory company, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and
Gulf Binance Company Limited Gulf Binance Company Limited (''Gulf Binance'') as a digital asset exchange failed to comply with the rules, conditions and procedures stipulated in
Orbix Trade Company Limited Orbix Trade Company Limited (''ORBIX TRADE'') as a digital asset exchange failed to comply with the rules, conditions and procedures stipulated in the
GMO-Z.COM CRYPTONOMICS (THAILAND) GMO-Z.COM CRYPTONOMICS (THAILAND) Company Limited (''Z.COMEX'') as a digital asset exchange failed to comply with the rules, conditions and
InnovestX Securities Company Limited InnovestX Securities Company Limited ("INVX") as a digital asset exchange failed to comply with the rules, conditions and procedures stipulated in the