securities financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers
financial instruments were derived from a variety of activities, including, derivative warrants (DWs), over-the-counter (OTC) derivatives, investments in debt and equity securities for the Company’s own
Mr. Thawatchai Pittayasophon, SEC Deputy Secretary-General, Acting Secretary-General, clarified: “The SEC, to the best effort, has taken actions under the authority in this case, e.g., instructing
Printable Format - Laws and Regulations Derivatives Advisors |- Registrar and Licensing |- Activities not deem to be classified as operating securities business |- Business Operation Rules |- Capital
Office operation ( 6 record(s) found) No. Report Name Data File As of Data Definition 1 Actions against related party transactions and acquisition and disposal of assets 2022 2 Rectification orders
the capital market, taking into account its strengthening of good governance standards, decisive actions against market misconduct to safeguard investors, strong support for innovation and regulatory
company is licensed to operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal
. Later, she took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal Code. The public prosecutor issued a non-prosecution order
incident shall be liable for Bitazza’s violation of the law by conducting a digital asset exchange without a license together with Bitazza International Limited resulted from his instructions or actions