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 Operational Control in Underwriting of Securities (No. 2)
asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company
"electronic possession" OR "electric ownership" OR "electric control" OR "digital ownership" OR "digital control"&wt=json&indent=true&facet=true&facet.field=key_filetype&facet.field=key_sitemap&facet.field
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misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit