including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and
digital assets to be offered for trading, including the delisting of digital assets. Moreover, Zipmex failed to perform its duties with due care as the professional should exercise in accordance with
procedures as specified in the notification. In this regard, Bitazza insufficiently provided the system to ensure that Bitazza could know and verify the true identity of its customers, including acquiring
company contacted and solicited the public as well as disseminated related investment documents and information through various channels including website www.ngm-trading.com to lure the investing public
as well as disseminated related investment documents and information through various channels including website www.famarkets.com to lure the investing public into their businesses. The aforesaid act
, failed to timely notify the Office, unit holders, clients, or the provident fund committee of its inability to maintain its capital funds, including the causes thereof and the suspension of its business
period from 10 May 2023 to 17 February 2025, FPAM reported its capital fund maintenance by including in the calculation the value of outstanding fee receivables with overdue periods exceeding 90 days
Bitazza could know and verify the true identity of its customers, including acquiring adequate information for customers’ risk assessment. DAB Act S.94 in conjunction with 30 Settlement Committee Meeting
from DAOLS’ failure to exercise due care and diligence in protecting the interests of the bondholders, including failing to verify existing encumbrances on the condominium units serving as collateral