license or approval properly. The SEC lists of licensed and approved persons are available at www.sec.or.th and SEC Check First application. Also, the Investor Alert List of entities operating business
Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives
) Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies
Remark: * SEC News No. 125/2021: “SEC files a criminal complaint against Binance for operating digital asset business without license”: https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9017&NewsNo
demonstrate high-standard qualifications including financial readiness, personnel and operating systems. The operations of successful applicants should comply with related international standards such as the
criminal complaint with the Economic Crime Suppression Division against {A} and {B} and the parties involved on account of being co-principals in operating derivatives business without approval. Due to
in charge of Accounting and Finance of ICHI, knew the inside information related to ICHI's financial statement year 2016, which would show a decline in the net earnings resulting from net operating
program trading including the trading conditions. A key operating system compatible for the undertaking of private fund management must also be established to ensure that intermediaries will be able to
, which had been operating business by virtue of the Transitional Provisions of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018), must cease operation; however, to ensure proper proceeding
operating systems that support all five steps of the complete wealth advice process, namely (1) exploring and understanding customers, (2) constructing an investment portfolio, (3) implement the portfolio