Bitazza Company Limited Bitazza Company Limited, a digital asset broker, failed to calculate, prepare and submit the monthly net capital calculation report (Form Dor Jor. 2) for the period of June
GMO-Z com Securities (Thailand) Public Company Limited GMO-Z com Securities (Thailand) Public Company Limited (“Z com Securities”) failed to maintain its net capital ratio (NCR) in accordance with
follows; (1) engaged in an act which may cause damage or constitute an unfair advantage to its customers or other interested person as specified in the notification of the Capital Market Supervisory Board
นำส่งประกาศและซักซ้อมความเข้าใจเกี่ยวกับการปรับปรุงหลักเกณฑ์เกี่ยวกับการดำรงเงินกองทุน (on-going capital requirement) ของผู้ประกอบธุรกิจจัดการกองทุนและผู้ประกอบธุรกิจนายหน้าซื้อขายหน่วยลงทุน และ
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investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years
Capital Market Supervisory Board.* SEC has therefore revoked the approval and will not accept her future application for approval as personnel in the capital market business for a period of 10 years
March 2020. ______________________Notes: * Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital