และจัดการกองทุนรวมที่เกี่ยวข้องกับบุคคลซึ่งมีความสัมพันธ์กับบริษัทหลักทรัพย์จัดการกองทุนรวม (affiliated persons)ด้วยปัจจุบันมี
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...
Recently, the SEC has been notified that some private sector entities have used the SEC’s response letters as references for other persons in various transactions, possibly providing information that
case and found that the aforesaid persons jointly operated securities business without a license in violation of Section 90 of the Securities and Exchange Act B.E. 2535 (SEA). The said actions were
Reporting of Interests of Directors, Executives and Related Persons
Rules for Listing Names of Persons on Database of Directors and Executives of Securities Issuing Companies
Disposition of Securities ( 286 ) SEC_News ( 197 ) List of Approved persons / Licensees ( 188 ) Enforcement ( 162 ) Form 59-1 / 59/2 ( 152 ) Derivative Warrant Prospectus ( 100 ) Finanacial Statements ( 99
Disposition of Securities ( 286 ) List of Approved persons / Licensees ( 188 ) SEC_News ( 187 ) Enforcement ( 152 ) Form 59-1 / 59/2 ( 152 ) Derivative Warrant Prospectus ( 100 ) Finanacial Statements ( 99
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in