Wealth Asset Management Company Limited— as a company licensed securities brokerage, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, there were
No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By
Securities and Exchange Commission No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing
satisfy the audit procedures due to limitation on scope of audit imposed by the PICNI management in various matters including inability to obtain certification from the company?s management regarding
(2008) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require
) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require prior approval from
Coins TH Company Limited On September 7, 2024, Coins TH Company Limited ("Coins TH") as a cryptocurrency broker and dealer, failed to comply with the rules, conditions and procedures as
Merkle Capital Company Limited Between November 25, 2024 and January 20, 2025, Merkle Capital Company Limited (''Merkle''), a digital asset exchange, as a digital asset fund