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

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

Bangkok, 17 January 2023 – The Securities and Exchange Commission (SEC) has issued regulations requiring digital asset business operators that provide custody of clients’ digital assets to establish

custody without the objective of custodial service business as in the case of DA issuers who provide custody of self-issued DA to their clients. The SEC therefore views it is appropriate to revise the

Bangkok, August 17, 2012 - The SEC imposed administrative sanction on seven investment consultants for their failure to record clients' securities or derivatives trading orders by suspending one

Diligence (KYC/CDD) and credit line review practices, particularly for those clients who have traded securities under cash balance rule or inappropriately transferred their securities to raise credit limits

Data Resources Asia Co., Ltd. Between July 2004 and 17 December 2004, Data Resources Asia Co., Ltd. with other alleged persons operated securities brokerage business, soliciting foreign clients to

Mr. Robert Edward Jowett Between July 2004 and 17 December 2004, Mr. Robert Edward Jowett with other alleged persons operated securities brokerage business, soliciting foreign clients to invest in

Singapore and/or other affiliated companies as designated, effective from 8 May 2022. According to The Securities and Exchange Commission ("SEC")'s findings, Zipmex Thailand clients'