/News_Detail.aspx?SECID=9721 SEC files a criminal complaint against the former managing director of Solaris Asset Management to DSI and prohibited him from performing his duties as personnel in the capital market
Funds between Hong Kong Special Administrati in virtual assets such as digital tokens5, virtual commodities and crypto assets6 and engaging in a physical short sale transaction is also prohibited. However
Funds between Hong Kong Special Administrati in virtual assets such as digital tokens5, virtual commodities and crypto assets6 and engaging in a physical short sale transaction is also prohibited. However
qualification and do not have prohibited characteristics as specified in the Notification of the SEC Office3; The provision in the first paragraph shall also be applicable to a director, a manager and a partner
Association of Thai Securities Companies (ASCO)1. The SEC therefore revoked the approval of Auracha as securities investment consultant and prohibited her re-entry as capital market personnel for 10 years
consultant and prohibited her re-entry as capital market personnel for 10 years, starting from December 22, 2015. On other cases, Nattapon was found accepting orders to trade securities in a client?s account
operators of all types are prohibited from providing services or acting in any manners of supporting or promoting the use of digital assets as a means of payment for goods and services, which include
Placement 4 th case: the offer to sell PP shares which is not falling under 1st to 3rd cases Conditions for approval A listed company is prohibited from advertising the offer to sell new shares to
The Notification of the Securities and Exchange Commission No. GorLorThor. 18/2561 Re: Prescription of Prohibited Characteristics of Directors and Executives of the Digital Asset Business Operators The
The Notification of the Securities and Exchange Commission No. GorLorThor. 18/2561 Re: Prescription of Prohibited Characteristics of Directors and Executives of the Digital Asset Business Operators The