funds in gold futures. They also engaged in solicitation and publicity activities through a Facebook page named Kridtapon Petkeawna. Accordingly, such conduct constitutes operating as a derivatives fund
engaged in solicitation and publicity activities through a Facebook page named Kridtapon Petkeawna. Such conduct constitutes operating as a digital asset fund manager without obtaining the required licenses
Earlier, the SEC instructed SAM to conduct a special audit and submit the special audit report by 26 March 2025.* The company later requested a deadline extension to 26 April 2025, as it is in the
required to conduct a knowledge test on investors before providing services to them. The consultation paper is available at https://bit.ly/3knvOOk. Stakeholders and interested parties are welcome to
the client. Her actions were therefore deemed as interfering with client's assets and failing to comply with professional standards of conduct. On {B} case, the SEC received a client's complaint stating
Mr. Watcharachai Watcharatham Between 7 January 2015 to 24 March 2015, Mr. Watcharachai Watcharatham aided or abetted Mr. Werawat Changyoo by deposit, transfer and conduct financial transaction in Mr
Securities Borrowing and Lending Limited BDU Investment Advisory Derivatives Advisors Approval and Standards Practice Code of Conduct Fees Related Circular Letter Appoint/Approval/Code of conducts and Standard