without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions
three fourths of the attending shareholders with the voting right, excluding the votes of the shareholders with a conflict of interest.SEC therefore advises NBC’s shareholders to study the details of
subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day
Management Companies and asset management companies . The survey results therefore provided information revising relevant regulations to align with international standards, to suit the nature of business and
related information thoroughly and inquire GJS executives for further details and clarification in order to make a well-informed decision and exercise the voting right to protect their own interest
company's right to apply for a digital asset business licence in the future as long as the application criteria are met.For more details of the rules and regulations governing application for digital asset
investor access to information prepared by professionals with understanding of foreign products for investment decision-making. With respect to movement to a host country, professionals approved by the
board, resulting in the company?s loss. The auditor had also detected serious weakness in GEN?s internal control relating to such securities investment exceeding the approved amount. More details in the
wrongdoing.In addition, he committed or permitted no record of important information in the notes to RAM financial statements for the year 2012, the first and third quarters of 2013, and the year 2013 in order to
Stock Exchange of Thailand and provide information to the shareholders within 21 days from the date of notification to the stock exchange. Details of such items appear in Attachment 1: Acquisition of