misconduct of MRC - BIZ is liable to offering for sale of digital tokens and operating digital asset exchange without license, which is a legal offense under Section 17 and Section 26 subject to the
Global Markets Ltd. (Navista) for operating derivatives business without license. Following the reports on their suspicious unlicensed derivatives activities, the SEC conducted raids on GISP?s office
derivatives business operators concerning the standards of business conduct, management structure, operating system and services they provide.In this connection, the SEC will revise the rules governing
Maintenance of Capital of Investment Advisors and Derivatives Advisors
Printable Format - Laws and Regulations Derivatives Advisors |- Registrar and Licensing |- Activities not deem to be classified as operating securities business |- Business Operation Rules |- Capital
Rules on Undertaking of Derivatives Business for Licensed Derivatives Advisors
Rules on Undertaking Derivatives Business for Licensed Derivatives Advisors
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
ชื่อผู้ได้มา/จำหน่าย :?WASATCH ADVISORS, INC. | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 09/07/2562
ชื่อผู้ได้มา/จำหน่าย :?FINANSA INVESTMENT ADVISORS LTD. | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 28/06/2547