the regulations on sale promotion advertisement, engagement of introducing broker agent, and disclosure of brokerage transaction activities, which will come into force starting from 1 January 2022
case that any party claims to be an intermediary, either as digital asset exchange, broker or dealer, SEC suggests that investors should verify their legitimacy via the list provided on the SEC
Signatory A of IOSCO MMOU concerning Consultation and Cooperation and the Exchange of Information, (3) CIS operator must appoint licensed securities broker as selling agent and (4) selling agent must comply
operator must appoint licensed securities broker as selling agent and (4) selling agent must comply with specified criteria including distribution of offering circular (fact sheet) prepared in Thai. The
Bee filed a cancellation notice to his broker, Globlex Securities Co., Ltd., in order to void the purchase transactions has no effect on the Sub-Committee?s opinion as well because the purchases of EIC
unlicensed broker-dealer securities business under the names of Benson Dupont Capital Management and Morgan Pacific, which sold shares of five listed companies in the U.S. to investors benefitting from trading
derivatives broker to ensure that policy, operational procedures, and personnel of those business operators related to money-laundering and terrorist financing are put in place. In 2010, the SEC and the Anti
). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other