holders. Disclosure of source code, information disclosure forms, drafted prospectus and financial statements are also required to conform with SEC regulations. Each ICO can be placed to ultra-high net
been known to have gigantic impacts even on the global market. To ensure the financial statements of those entities conform to accounting standards, auditing can no longer relies only on individuals but
Citibank N.A. Citibank N.A., a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification of the Capital
, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management
Krungthai-axa life insurance Public Company Limited Krungthai-axa life insurance Public Company Limited a company licensed Securities Brokerage : Investment Units, failed to comply with the rules
, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective compliance system
period ended June 30, 2018 to the SEC Office and the Stock Exchange of Thailand. That is, the information disclosure of the financial statements did not comply with the notification of the Capital Market
applicable to mutual fund management company, but AIA Company Limited failed to comply with the provisions being applicable to mutual fund management company in case of redemption payment process when the
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has