from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow: (1) In the case of {A}, she was found to fail to examine the correctness of
persons, companies, or investment products relating to securities and digital assets, as well as to verify the legitimacy of the licenses of SEC-approved businesses, which can be found in the Investor
case that any party claims to be an intermediary, either as digital asset exchange, broker or dealer, SEC suggests that investors should verify their legitimacy via the list provided on the SEC
market. Division 2 Principle for business operation of an intermediary _____________________________ Clause 3 For legitimacy of business operation, an intermediary is obligated to the principles as
. In the case that any party claims to be an intermediary, either as digital asset exchange, broker or dealer, SEC suggests that investors should verify their legitimacy via the list provided on the SEC
notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
/News_Detail.aspx?SECID=8284 SEC launches application “SEC Check First” persons, companies, or investment products relating to securities and digital assets , as well as to verify the legitimacy of the licenses of
products relating to securities and digital assets , as well as to verify the legitimacy of the licenses of SEC-approved businesses, which can be found in the Investor https://www.sec.or.th/EN/Pages
to securities and digital assets, as well as to verify the legitimacy of the licenses of SEC-approved businesses, which can be found in the Investor https://www.sec.or.th/EN/Pages/News_Detail.aspx