the customer must place cash or listed securities as initial margin with securities company . However, bonds or investment units are not permitted to be place with securities company as collateral to
persuaders on whether or not they are licensed as the digital asset business operators on SEC list. Those who are not listed and intend to operate digital asset businesses can request SEC for licenses and
regarding units of REIT, if indirect investment in real estate is made through shareholding of other companies, REIT must hold not less than 99% of the total sold shares and of the total voting shares in
Under the SEC’s policy, digital asset business operators are not allowed to provide or support deposit taking and lending services to prevent possible damage to digital asset investors and the public
._____________________Remarks:* Regulatory Guillotine is the regulatory review of the existing laws and regulations. The reviewed laws and regulations that are unnecessary or do not keep pace with situations or remain obstacles
securities business operators, derivatives business operators or digital asset business operators who have not obtained a respective license, as well as foreign digital asset business operators. This is
found that Bantherngsak gave the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund
to pay 60.5 million baht to the computer company but not receiving any benefit in return and thus suffering damage. Bee?s misconducts were aided by Woraset Unyakowit (currently named Thanachai
financial statements that do not comply with the generally accepted accounting standards. PAF is required to submit and publicly disclose the rectified financial statements that are reviewed by auditor within
investigation, it was found that Niran, a KBANK employee at the time, had solicited a client to purchase units of a mutual fund but did not execute the subscription order for the client. Instead, he