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activities are liable to be an operation of digital asset exchange business under Section 3 of the Emergency Decree, for which XT .COM has not obtained a license, in violation of Section 26, and subject to
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection
the AIMC has not issued relevant rules, asset management companies shall comply with the SEC’s regulations that have been in force before the effective date of the amended regulations until the AIMC
client accepted the proposed transactions. At the end of trading day, {A} notified the amount of money to be received or paid whereas the client did not reject or decline the transactions. In case of {B
Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc