appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.
shall be repealed. Clause 3 In this Notification: (1) “ derivatives broker ” means a person who is licensed to undertake the derivatives business in the category of derivatives brokerage; (2) “ manager
shall be repealed. Clause 3 In this Notification: (1) “derivatives broker” means a person who is licensed to undertake the derivatives business in the category of derivatives brokerage; (2) “manager
Bangkok, May 31, 2011 - The SEC will revise regulations on taking custody of client?s assets by securities company and derivatives broker in response to upcoming reduction of protected deposit under
Zipmex Company Limited On April 1, 2024, Zipmex Company Limited, a digital asset exchange and broker, appointed a director without the approval of the SEC. DAB Act S.29 paragraph 1 Settlement
Bitazza Company Limited Bitazza Company Limited, a digital asset broker, failed to calculate, prepare and submit the daily net capital report (Form Dor Jor. 1) for the period from June 26, 2024 to
Bitazza Company Limited Bitazza Company Limited, a digital asset broker, failed to calculate, prepare and submit the monthly net capital calculation report (Form Dor Jor. 2) for the period of June
Mr. Suwat Eiewaksorn Mr. Suwat Eiewaksorn conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a