Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
Logical Solution Co., Ltd. Between August 2001 and 22 May 2003, Logical Solution Co., Ltd. with other alleged persons operated securities brokerage business and solicited foreign clients to invest in
Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
Rules on Application for Obtaining Approval and Granting to Perform Trust Business
Mr. Matthew Stanley Pearsall Mr. Matthew Stanley Pearsall as the Director responsible for the operation of Logical Solution Co., Ltd. violated section 301. The public prosecutor issued a prosecution
of big data analysis.Experts in financial technology (FinTech) business will share their views and experiences in transforming large and complex raw data into logical, useful information on investors
N.A.T. (Thailand) Company Limited N.A.T. (Thailand) Company Limited (N.A.T.) operated derivatives business without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003
Mr. Teerayut Hemput Mr. Teerayut Hemput operated derivatives business without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions
Mr. Thanawat Kiattisak Mr. Thanawat Kiattisak operated derivatives business without obtaining license from the SEC with the other person, in violation of the Derivatives Act B.E. 2546 (2003