Disclosure Business News สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 April 2022 19:15 Disclosure Business News Disclosure Business News ( 1 record(s) found) Date Time Heading
Bangkok, November 19, 2015 ? The SEC has filed a criminal complaint against (1) Saiphet Thongngao, (2) Sureerat Ardpaksa, and (3) Woraphol Muenbowon for jointly operating derivatives business without
Bangkok, 14 January 2019 ? The SEC announced that the Ministry of Finance, under the recommendation of the SEC Board, had denied a digital asset business licence for Coin Asset Co., Ltd.Earlier
Arthur Robbirt, a British citizen, on account of jointly operating securities business without license.The SEC has been informed by foreign investors residing in Thailand that Global Consultant ? located
reports to the SEC Office with regard to their financial condition, business operation or any other information which may affect the rights and interest of digital asset holders or investment decision
by the SEC . The proposed rules also require that all digital asset business operators have an adequate source of fund, cybersecurity and IT risk management, Know-Your-Customer and Customer-Due
financial advisory or planning services have been provided only to high-net-worth invertors. SEC then initiates the Wealth Advice for All project with the goal to encourage the business operators in the
Bangkok, March 7, 2014 ? The SEC exchanged Letters for Cooperation with Financial Services Agency (FSA), Japan, to expand business opportunity between two capital markets. In this regard, the SEC
responsible business behavior and climate accountability. All stakeholders in the capital market, both listed companies and financial intermediaries such as securities companies and asset management
Based on information provided by a whistleblower and the SEC’s further investigation, it has been revealed that Morakot has displayed behaviors indicative of conducting securities business in the