Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...
records related to the custody of client fund issued by the custodial bank, and records related to the custody of client digital assets issued by digital asset custodians permitted to provide such services
accurate and updated records of clients’ assets; and (3) Seeking benefits from clients’ fiat money shall be prohibited except in the form of deposit with commercial bank(s). In this regard, digital asset
Digital Asset - SECOpenData EN หน้าแรก กองทุน กองทุนรวม กองทุนส่วนบุคคล กองทุนสำรองเลี้ยงชีพ กองทุนอื่น ตราสารหนี้ ตราสารทุน ESG Data สินทรัพย์ดิจิทัล ผู้ประกอบธุรกิจและบุคลากรในตลาดทุน ผู้ประกอบ
case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are
custody of client fund issued by the custodial bank, and records related to the custody of client digital assets issued by digital asset custodians permitted to provide such services legally
The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on continued quality development and investor protection reliability of such business operators. This
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