exchange and brokerage licenses of Zipmex Co., Ltd. (Zipmex) have been revoked, effective from 28 May 2024. Nevertheless, Zipmex retains its status as a limited company with corresponding rights and

Capital Asset Management Co., Ltd.   6) Xspring Asset Management Co., Ltd.  7) Treasurist Mutual Fund Brokerage Securities Co., Ltd.   8) Avenger Planner Investment Advisory Securities Co., Ltd.    9

and the Derivatives Act, i.e., securities and derivatives business operators in the categories of, e.g., securities brokerage, investment advisory service, securities underwriting, mutual fund

companies and derivatives intermediaries of all kinds, such as, commercial banks, life insurance company, and mutual fund brokerage securities companies (BSC) providing such services shall comply with the

Following a tip from a reliable source and SEC’s further inspection, SEC finds that Devere & Partners and Mr. Ian Mcintyre had operated securities brokerage and investment advisory businesses

time. For example, an applicant wishing to undertake brokerage business for equity and debts would be able to apply for such specific package with the Minister of Finance, and could apply for additional

execution.The draft rules would grant a waiver of private fund license and derivatives fund manager license for both services above which would be considered incidental to brokerage. However, the intermediaries

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

, supervisory guidelines for bills of exchange and extension of regulation on net liquid capital rule on business operators of brokerage, dealing and underwriting of investment units (LBDU) as follows:  1. Bill

securities businesses of brokerage, investment advisory and private fund management by advertising, soliciting and using website http://www.qg-corp.com.  The said actions were subject to an imprisonment from 2