fintech expo and found a number of business operators who may be liable to undertaking securities business, derivatives business or digital asset business without license. Additional evidence was collected
derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid
futures trading agents. They advertised and solicited investing public to open gold futures trading account and make the trading transactions through website www.fortunebullion.com without obtaining license
nationality, on account of operating securities business without license.? Several foreign investors informed the SEC that Mr. Malpass, who resided in Thailand, had solicited them to transfer their pension
ค่าหน่วยลงทุนจากผู้เอาประกันภัยไปลงทุนในหน่วยลงทุนของ บลจ.นั้นเอง กรณีนี้ไม่ต้องขอ license limited BDU อีก เพราะเป็นการขายหน่วยลงทุนของบลจ.เอง ซึ่งบลจ.สามารถที่จะขายหน่วยลงทุนของตัวเองได้ตาม license
order or an action which results in the offence that the company operated digital asset exchange businesses without a license. The Court of Appeal adjudicated that the defendant was guilty under Section
18/01/1996 3. Notification of the Securities and Exchange Commission Kor Thor. 25/2560 Specification of Paid-up Registered Capital of Securities Business License Applicant and Licensee 31/10/2017 01
Renaissance Fund Management is a licensee under Type C Securities Business License in addition to the Derivatives Fund Management and Advisory Services Licenses. According to the SEC’s onsite
Debenture Bond Basel Convertible Debenture IC Bond SUKUK Structured Debenture DR-Common share Depositary Receipt DR-Convertible debenture Depository Receipt Representing Foreign Securities NVDR Preferred