Exchange Act B.E. 2535 (1992) (SEA). The findings previously led to the sanctions imposed on ING Funds, Maris and Burim. In this connection, the SEC further probed into the case and found that from January 5
issued under Section 58 (1), which is liable to the offenses under Section 274 and Section 281/10 in conjunction with Section 58 (1) of the SEA, and the case where EARTH disclosed misleading statements
Custody of Assets of Clients by Securities Companies
Custody of Assets of Clients by Licensed Derivatives Brokers
Custody of Assets of Clients by Securities Companies (No. 3)
Custody of Clients’ Assets by Securities Companies (No. 4)
Custody of Clients’ Assets by Securities Companies (Codified)
On 25 December 2023, the SEC issued a letter to NUSA’s Board of Directors regarding their resolution, passed on 7 December 2023, to sell the company’s six assets for a total amount exceeding 11
(SETLink) by 10 February 2025. The SEC had an observation on the reasonableness and appropriateness of the assumptions used in calculating the recoverable amount for considering the impairment loss of assets