businesses, B.E. 2561 on expectation to come into force on 16 July 2018.This notification will be enforced on those who will operate businesses as trading centers, brokerage firms and dealers for digital
close down without providing advanced notification to the SEC. The companies, however, must provide service channels for their customers, i.e., submission of trading orders through its headquarters. (2
. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the
trading. The acts of {A} and {B} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to
5644pe.doc documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given to customers and
tokens to the public must be conducted only by limited companies or public limited companies on the condition that such issuers have already obtained an approval and filed the registration statement and
trading, front running, market manipulation. Offering of digital tokens or undertaking of digital asset businesses without approval are also punishable under the Decree. Meanwhile, the SEC is drafting
related companies at the upcoming shareholders? meeting on September 25, 2014. Earlier, ADAM announced to seek shareholders? approval on 9.46 million baht disposal of assets of its subsidiaries, affiliates
Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the