Following the announcement of BX (which formerly operated in digital asset exchange business) that its business operations will completely shut down on 3 April 2020 which means it will stop servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter to other out-of-control wallets without client’ instructions. That actions incurred losses to other...
particular person to reduce inappropriate PP offering. The SEC is proposing to amend the PP offering regulations to further enhance efficiency of such offering and maintain sufficient investor protection
amendments contain the following provisions: 1. Cancel the approval application procedure, retain information disclosure in the shareholders' meeting notice, and require the opinion of an independent
: “As the financial services sector evolves at an unprecedented pace, it is key for regulatory bodies to maintain a constant stream of knowledge exchange to stay abreast of innovation in the sector
unauthorized persons from accessing or amending the information relating to its securities business operation. Clause 9.1011 A securities company shall retain evidence regarding securities trading and maintain
maintain sufficient security system to prevent unauthorized persons from accessing or amending the information relating to its securities business operation. Clause 9.1011 A securities company shall retain
maintain sufficient security system to prevent unauthorized persons from accessing or amending the information relating to its securities business operation. Clause 9. A securities company shall retain
their audit work as a signing partner; and (4) allow capital market auditors who are unable to maintain their qualifications as a leader or a partner of an audit firm or an equivalent position to
. 2535 (1992) and the Derivatives Act B.E. 2546 (2003) do not keep pace with these rapidly changing environments which may unintentionally limit the area that business operators can make use of
B.E. 2535 (1992), the Securities https://publish.sec.or.th/nrs/2544pe.doc Translation retain such record until all the procedures are completed. In the case where the advise, trading instruction or