Notification of the Securities and Exchange Commission No. KorMor. 10/2559 Re: Determination of Fees for Undertaking Business According to Licenses ________________________ By virtue of Section 14(2) of the
. Notification of the Securities and Exchange Commission No. KorMor. 10/2559 Re: Determination of Fees for Undertaking Business According to Licenses ________________________ By virtue of Section 14(2) of the
Page 1 RJH – SET 14/2019 13 August 2019 Subject : Notification of Asset Acquisition and Connected Transaction To : The President The Stock Exchange of Thailand Attachment : Information memorandum on
, taking into account custody risk (risk in custody of clients’ digital assets) and trading service risk (risk arising from digital asset trading volume), not lower than the prescribed rate. ** Six relevant
reference. 11 Notification of the Capital Market Supervisory Board No. TorThor. 43/2552 Re: Custody of Clients’ Assets by Securities Companies _________________ By virtue of Section 16/6 of the Securities and
reference. Notification of the Capital Market Supervisory Board No. TorThor. 43/2552 Re: Custody of Clients’ Assets by Securities Companies _________________ By virtue of Section 16/6 of the Securities and
into their trading accounts but the money was not deposited in the clients? accounts. The SEC?s further investigation revealed that Veerachai had replaced the name of the actual account owner on the
SEC found from conversation records that {A} had obtained authorizations to make trading decisions for the clients. {A}'s actions are deemed in violation of Clause 20(2) and (3) of the Notification of