Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer
WSD Financial (NZ) Ltd. WSD Financial (NZ) Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the
Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed
Line อ้างชื่อ HSHGold Futures และ Line อ้างชื่อ Broker_Champ : Unlicensed securities and derivatives business (Disclosure Date : 09/04/2024)
Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type
scope of digital asset business currently covers only digital asset exchange, digital asset broker and digital asset dealer. Therefore, the SEC Board views it appropriate to add digital asset advisory
ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (UNOFFICIAL TRANSLATION) PAGE Readers should be aware that only the original Thai text has legal force and that this English translation is strictly
Unofficial translation (Translation) PAGE (Translation) -5- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The