Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and
Zipmex Company Limited During the middle of 2020 to September 7, 2022, Zipmex Company Limited ("Zipmex"), a digital asset exchange and a digital asset broker, did not provide management
to provide investors with quality and standard services from business operators.The regulations will require business operators to provide personnel, communication system, customer service system
oriented growth companies and to balance any increase in leveraging. The updated G20/OECD Principles of Corporate Governance (the Principles) therefore provide a very timely and tangible contribution to the
Office may disregard such facts as a cause for consideration of prohibited characteristics of the auditor in the capital market. Clause 18 In considering the prohibited characteristics of the auditor in
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
expiration of timeframe prescribed by the SEC Office under Paragraph 1 or applicant’s compliance with the conditions specified by the SEC Office, the SEC Office shall disregard the underlying fact under
Currently, investors are usually required to provide a lot of information each time they request services from an intermediary and must repeat the process via different forms when using services of
custody without the objective of custodial service business as in the case of DA issuers who provide custody of self-issued DA to their clients. The SEC therefore views it is appropriate to revise the