. This revision came as a result of the earlier round of public comments, taking place last month, on its guiding principle for setting the licensing fees.  In proposing the rule changes, the SEC took into

experiences in overseas investment. Under the proposed regulations, derivatives brokers must have infrastructure in place to render service to retail investors to trade derivatives on foreign derivatives

derivatives without investment limit. Nonetheless, asset management companies are required to put in place a proper risk management system for risks associated with derivatives investment and clearly disclose

transformation, adaptation to rapidly evolving technology, strategies for getting ready for the future, as well as challenges and obstacles faced by digital leaders. The event took place at EMSPHERE Shopping

comply with the rules, conditions and procedures as specified in the notification of the SEC by failing to put in place a sufficient and effective system for brokerage services system in digital asset as

as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management systems which may cause serious damage to the benefit of

accurate information was in place to ensure the status of qualified customers as high net worth investors. SEC Act S.113 Settlement Committee Meeting No. 2/2025 Settlement Committee Order No. 20/2025

is responsible for the operations of BBL, shall be liable for BBL’s failure to comply with the rules, conditions and procedures as specified in the notification by failing to put in place a sufficient

the operations of BBL, shall be liable for BBL’s failure to comply with the rules, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system

Mr. Anupon Sriard During the period of 25 – 31 August 2015, Mr. Anupon Sriard, as a private fund manager, instructed the securities trading accounts of the clients of the private fund to place orders