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significantly high amount of deposit before execution of transactions. SEC therefore urges W’s shareholders to study details of this matter very carefully and thoroughly before considering subscription for the
minor shall obtain a consent from the rightful representative before executing any legal acts and any acts executed by a minor without such consent shall be voidable unless regulated otherwise, etc
be voidable unless regulated otherwise, etc.; (2) Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1
settlement system, to provide transaction services to investors. SEC has found that all regulated business operators have implemented their business continuity plan to tackle possible impacts of the Covid
announcing direct investment in cryptocurrency become more interconnected with bitcoin. Event-study: Abnormal Returns (AR) Market model • 𝐴𝑅𝑖,𝑡 = 𝑅𝑖,𝑡 − 𝛼 − 𝛽𝑖 (𝑅𝑚,𝑡) Cumulative abnormal
The SEC Management introduces the new look of corporate website www.sec.or.th, featuring multi-device accessibility as well as more user-friendly experience for the public, investors and regulated
views of regulator and regulated persons. Meanwhile, better communication will allow stakeholders to learn of purposes, objectives and benefits of the regulations which must also be responsive to their
Advisors are Broker/Dealers. • Broker/dealers must obey “suitability” standard of conduct but not “fiduciary duty” • Broker/dealers are regulated by FINRA REGULATORY REQUIREMENTS Provide regulator with