’ assets and strict supervision on asset separation. The private fund operators can self-custody for its assets under management without applying for the approval of being custodian. Such a move will
dishonest acts against clients? assets, using clients? trading accounts to seek their own personal gains and acting beyond their scope of duties.Veerachai and Jakkrit worked at Capital Nomura Securities
Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on
Special Investigation (DSI) on account of misappropriating approximately 57.7 million baht of the company assets and falsifying documents and recording false accounting information during 2009-2010 while he
(DSI) on account of misappropriating approximately 57.7 million baht of the company assets and falsifying documents and recording false accounting information during 2009-2010 while he was in charge of
Holborn Assets : Unlicensed securities and derivatives business (Disclosure Date : 16/10/2020)
The BOT and the SEC previously discussed and reviewed the benefits and risks of digital assets and deemed it necessary to regulate and control the use of digital assets as a means of payment for
Section 35 of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018), the SEC Board Meeting No. 9/2565 today has passed a resolution ordering Zipmex to resume its trading service according to the
bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not executing the subscription