), as per the specified legal procedures, passed a resolution requiring Zipmex to rectify its operations within 15 days regarding the failure to manage its business and personnel properly, adequately and
businesses pose risks to client assets. Such operations require approval from the SEC Board, which the company has not obtained; and (4) Improving measures to prevent conflicts of interest and properly
proper, and efficient operational systems and personnel to provide continuous services for the best interest of their clients, whereby the business operators’ personnel can perform their duties properly
particular, she failed to properly discharge her professional duties with loyalty, to provide services with honesty, and to perform her duties with professional due care. The SEC therefore suspended approval
or cease innovations but should study and learn from them closely for the best management of risks, particularly systematic risks. Therefore, consumer protection policy can be set properly and
, Victor, was deemed as failure to properly supervise his subordinates to prevent them from any action in violation of or in contravention to law on securities and exchange or notifications promulgated under
loans provided by clients, as well as, failing to discharge the duty properly as a manager in supervising and examining the staff's conduct to ensure the compliance with laws and regulations, in violation
properly allocate their investment suitable to risk appetite and expected return, promoting long-term investment as well as financial literacy through a variety of media."Peet Yongvanich, Managing Director
. In the case where the SEC Office considers that an applicant has properly and fully met the requirements under Clause 3, it shall submit the matter to the Securities and Exchange Commission for