specified in the notification of the SEC. In this regard, the SEC may also specify fees of service charges which the securities company may charge its customers for performing investment advisory service.
-equipped in terms of management structure, work systems, particularly an efficient information technology (IT) systems with a penetration test and IT audit, and disclosure of key information to customers
aiders namely Mr. Chanchai Piulueangsawat and Mrs. Onpimon Piulueangsawat, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC?s findings from the examination of the
subscribe and receive allocated shares for patrons of such companies.Such conduct was in violation of the rule whereby securities selling or allocation to directors, executives and related parties of the
customers' http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 2/2022 Dated 11/01/2022 Upbit Exchange (Thailand) Company Limited Between January 20, 2021 and July 31, 2021, Upbit
March 31, 2022, Upbit Exchange (Thailand) Company Limited, a digital asset exchange and a digital asset broker, kept customers' http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order
(Thailand) Company Limited, a digital asset exchange and a digital asset broker, kept customers' http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 2/2022 Dated 11/01/2022 Upbit
Exchange (Thailand) Company Limited, a digital asset exchange and a digital asset broker, kept customers' http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 2/2022 Dated 11/01
;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the