SEC Search Search From : Home > Search > Search Results search: Sitemap Market Data ( 1 ) Documents Any Documents aspx ( 4 ) http://172.19.1.196:8983/solr/secweb/select?q=virtual property OR "virtual
), particularly for digital tokens without custody risk. On 6 March 2025, the SEC Board’s Meeting passed a resolution approving revision to the net capital ("NC") requirements of digital asset business operators
and expectation without having supporting information or documents to back up his claim were in contravention of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended
processes and fee _____________ Clause 7 An applicant for the registration as a derivatives business operator shall submit an application form to the SEC Office together with the supplementing documents and
application for derivatives business operator registration within sixty days from the date of receiving the correct and complete application and evidential documents. Clause 9 Fees for submitting the
Guidelines, which cover the following key points: (1) To reduce the submission frequency of IT audit reports suitable for the risk level of small business operators and low-risk business operators to every
The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies because business structure in Thailand is characteristic of
}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving
reference. 10 Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business ___________________ By virtue of Section 9 and Paragraph