) B. Direct&Supervise&Review B Direction, supervision and review responsibilities: Firm's Reference /Guidance Notes Description 1 Has the firm established policies and procedures for direction and
) specified by the regulation. Net Capital Rule (NCR) The SEC applies the " net capital rule ( NCR )" approach, where securities and derivatives businesses are required to maintain “ net capital ( NC
any loss or damages arising out of or in connection with its use. Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business B.E. 2551 (as amended) By the virtue of
Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation
dropped because of the regulation is amended The law has been amended in a way that favors dropping the charge. SEC Act S.33 Criminal Complaint Filed with an Inquiry Official Dated 23/06/2022
SHARE : SEC public hearing on a draft regulation regarding prohibition of digital asset business operators’ provision of or involvement with crypto deposit taking and lending services Wednesday 8 March
procedures as specified in the Notification of the Capital Market Supervisory Board by failing to supervise transactions that are considered conflicts of interest by investing in two of IPO securities for
, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board to supervise transactions that are considered conflicts of interest by investing in unrated and unlisted bill
causing the coin can only trade on Bitkub’s exchange and experiencing a very unusual price adjustment. Since Bitkub’s compliance system failed to supervise the product department to monitor the properties
Mr. Tana Uawithya Mr. Tana Uawithya, the director responsible for the operation of Shun Thai Rubber Gloves Industry Public Company Limited (STHAI), failed to supervise STHAI to prepare and submit the