Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
Rules on Application for Obtaining Approval and Granting to Perform Trust Business
associated with the delay of the Project has been disclosed to the shareholders prior to obtaining the approval of the renovation Project. As a result, the construction delays further impacted the available
utilization rate to available capacity, and eventually a higher cost of goods produced and low margin. To offset a slowdown in orders, the Company reduced costs by obtaining better sources of raw materials
Coindee Company Limited During April 28, 2025 to October 26, 2025, Coindee Company Limited, a digital asset advisory at the time of the incident, appointed an authorized director without obtaining
SAMART TRAFFIC COMPANY LIMITED (SMT) SAMART TRAFFIC COMPANY LIMITED (SMT) offered for sale newly issued securities in the category of debentures and bills without obtaining an approval from the SEC
Mr. Matthew Christensen Matthew Christensen operated derivatives business without obtaining license or registration from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and
S D Global S D Global operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under