Quarter 2/2023 2 Approval of securities licenses, derivatives licenses trustee license and digital asset license Quarter 2/2023 3 Activation of securities business, derivatives business trustee business
Exchange Commission No. Kor Thor. 25/2560 Re: Specification of Paid-up Registered Capital of Securities Business License Applicant and Licensee By virtue of Section 14 of the Securities and Exchange Act B.E
capacities of an investment consultant and private fund manager without obtaining the necessary license. In this context, he sought public engagement regarding the value of securities and the suitability of
token broker, dealer and advisor license; (2) To exempt digital asset fund manager license for securities companies and asset management companies to allow mutual funds and private funds to invest in
services liable to be an undertaking of digital asset business in the category of digital asset exchange without license, which is deemed a violation or a failure to comply with Section 26 of the Emergency
rules concerning application for securities registrar license. This is to ensure the continued enforceability of Section 206 and Section 222 of the SEA and to comply with Section 22 of the Act on
Jordan or Eric Jack Jordan as PPI director and personal capacity and (3) Gary Bradford for jointly operating securities business without license. The SEC received a complaint from a foreign investor
(section 109) |- Revocation of License (section 147) |- Service Outsourcing Guide for Securities Companies Others (Securities Business) |- Separation of Securities and Finance Businesses & Merger (section
. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees