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
Facebook Page ชื่อ Money borrowing service : Unlicensed securities and derivatives business (Disclosure Date : 28/11/2023)
Facebook Page ชื่อ Money borrowing service : Unlicensed securities and derivatives business (Disclosure Date : 28/11/2023)
Facebook Page ชื่อ Money borrowing service - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 28/11/2566)
Facebook Page ชื่อ Money borrowing service - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 28/11/2566)
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
Rules, Conditions and Procedures for Securities Borrowing and Lending
providing service, internal control system and risk management system for the securities borrowing and lending business, which exhibits that the business operator is ready and capable to comply with the rules
Clause 9, and to process and report data on level of risks incurred in securities borrowing and lending to its executives in accordance with its internal guidelines on internal control and risk management
business operator shall present document and evidence related to operating plan, operating system in providing service, internal control system and risk management system for the securities borrowing and