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 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
financial statements that do not comply with the generally accepted accounting standards. PAF is required to submit and publicly disclose the rectified financial statements that are reviewed by auditor within
, such as classes of investment units, right and return of each class, fees or other expenses payable by unit holders of each class, which must conform to each class of investment units. Due to the fact to