RMF units from other financial institutions or explaining the impact of redemption in such manner. As a result, the client became in breach of the conditions for receiving tax benefits and was
granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
-meeting’s agenda contains subject matters for consideration as follows: Agenda Item 1: Consideration for approving a waiver of the terms and conditions regarding the closing of the
, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors
, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee
Coins TH Company Limited On September 7, 2024, Coins TH Company Limited ("Coins TH") as a cryptocurrency broker and dealer, failed to comply with the rules, conditions and procedures as
, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117
, conditions and procedures stipulated in the relevant notification. In this regard, Bitkub did not provide customers with cryptocurrency training or cryptocurrency knowledge tests before providing services to
BBL Asset Management Company Limited From 12 July 2023 to 30 September 2024, BBL Asset Management Company Limited as a mutual fund management company, failed to comply with the rules, conditions and