into the communication records of {A} and her client and found that {A} had been authorized by her client to make derivatives trading decisions with high trading volumes. The client asked her to close

involvement with crypto deposit taking and lending services Under the SEC’s policy, digital asset business operators are not allowed to provide or support deposit taking and lending services to prevent possible

constituting conflicts of interest, especially the actions as prescribed in Clause 16 unless it is an action allowed by [other clauses of] this Notification; 2. receiving a gift or other benefits from the client

instruments, depending upon the customers? risk appetite. Licensed underwriting firms will be permitted to underwrite overseas financial instruments in Thailand while other licensed business operators will be

instrument or transaction is allowed without ratio limit, and obligations by way of borrowing or repurchasing (repo) agreement is permitted at the limit of 50 percent of the NAV.A hearing on the principles of

from KKTRADE Securities Company Limited, the SEC probed into {A}' s case and found that she had been authorized by her client to make securities trading decisions on the client?s behalf for a period of

client.Following the report of DBS Vickers Securities (Thailand) Company Ltd., and a client complaint, the SEC probed into {A}'s case and found that she had been authorized by her client to make securities trading

margin loans and the loans to any particular client to ensure greater caution;   (3) To establish a concentration ratio for the securities used as collateral by each customer, ensuring it does not exceed

Bitazza are deemed the persons responsible for the operations of Bitazza during the relevant period. Moreover, Mr. Kavin and Mr. Wee Kiat Kevin Heng as authorized directors of FreedomVerse and signatories

.?Business operators will be allowed to outsource activities, for instance, risk management, internal audit and control, information technology management, etc. Some important or expertise activities, will be