such action. Athit’s acts are liable to operating securities business without license in contravention of Section 90, which is subject to the penalties under Section 289 of the Securities and Exchange
misconduct of MRC - BIZ is liable to offering for sale of digital tokens and operating digital asset exchange without license, which is a legal offense under Section 17 and Section 26 subject to the
Chanchaisilp for operating unlicensed derivatives business.Sakkarin Ruamrang, SEC Assistant Secretary-General, said that ?The SEC?s probe revealed that G.O.L. (Thailand) held itself out as gold futures trading
Re: Guidelines Relating to Operating Systems of Fund Management Business
Re: Operating System Relating to the Undertaking of Fund Management Business
, transparency, fairness and accountability Resource sufficiency Reporting and disclosure of information Standards of practice, internal control and internal audit Risk management Complaint handling Operating
Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries