the securities company be responsible for such assets in full amount. Clause 8 A securities company shall not appoint any person as its agent to undertake custody of clients’ assets unless such
of the Office. In issuing the notification in accordance with the first paragraph, the Office shall specify the following important matters: (1) capital fund, net total assets and business operation of
Bangkok, April 18, 2014 ? The SEC urged shareholders of GOLD and UV to carefully study information on valuation of GOLD?s assets in a proposed related party transaction at the upcoming shareholders
of Assets. In addition, in the execution of such transaction, the Company will dispose of asset to the party which is not a connected person of the Company. Therefore, this transaction is not regarded
operates by matching orders or arranging for the counterparty or providing the system or facilitating a person who wishes to trade or exchange digital assets to be able to enter into an agreement or match
Unyakowit), who was then an IEC executive. Any person named in a criminal complaint filed by the SEC Office and under legal proceedings due to dishonest management of assets is deemed lacking trustworthy
which the Board of Directors’ Meeting No. 9/2019 has approved to cease such business to connected person. The disposal of such assets is regarded as a transfer of business in essential part pursuant to
” means any person licensed to undertake derivatives business in the category of derivatives broker. (2) “client’s assets” means (a) assets which derivatives broker received or held as collateral for