failure to comply with Section 35 of the Emergency Decree may lead to the consideration of license revocation.” The SEC emphasizes the importance of monitoring the operations of business operators to
Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
. The SEC therefore reviewed Ms. Sulalit’s audit work performed for Renaissance FMC and found that she had seriously failed to comply with auditing standards. The deficiencies included: Failure
information on the e-wallet used for safeguarding clients’ assets and details of transfer or withdrawal transactions of digital assets. However, Zipmex and Akalarp did not comply with the Competent Officer’s
, stated: “In this case, the SEC has been closely monitoring the operations of digital asset business operators. We reiterate that all operators providing WLD coin services must comply with regulations
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
have the power to specify in its notification the rules with which derivatives business operators shall comply.
Section 116 Securities and Exchange Act B.E. 2535 Section 116. In operating the business of securities underwriting, a securities company shall comply with the rules, conditions and procedures as