The SEC has sought cooperation from all financial advisors (FA) to help raise up standards of IPO companies by focusing on good internal control system and credibility of financial statements

servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter

; asset systems that could not segregate the customers' assets from Satang's without doubt. DAB Act S.31 Settlement Committee Meeting No. 12/2022 Settlement Committee Order No. 20/2022 Dated 07

of Zipmex’s customers that were deposited to earn returns in Thailand in a way that Zipmex, without doubt, could not segregate digital assets of the customers and may use such digital assets for any

Zipmex’s customers that were deposited to earn returns in Thailand in a way that Zipmex, without doubt, could not segregate digital assets of the customers and may use such digital assets for any other

, and take any actions with, their assets, securities trading accounts and banking accounts might lead to misconduct opportunities. Should investors have reasons to doubt the operation of any investor

revenue with the SEC, they did not raise any observation in documents supporting the said clarification despite various factors indicated doubt on document authenticity;3. For the filing, the financial

taking into account the best interest of unit holders. In addition, the applicant shall comply at least with the following criteria: (1) no reasonable doubt of the applicant’s financial position which may

exercises effective control in relation to the customer’s account or transactions; (5) “suspicious transaction” means suspicious transactions to be reported under anti-money laundering legislations; (6) “anti

in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately exercises effective control in relation to the customer’s account or