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
Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities
Selling of Securities in Foreign Country by Securities Company Without Having Possession
interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
company is licensed to operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal
. Later, she took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal Code. The public prosecutor issued a non-prosecution order
customers’ assets in its possession to have at least 2 audit responsible for recipience notified from the auditor that may report doubtful behavior which directors or managers have committed an offense as
practices, and adhere to applicable laws; c) embody high standards of business ethics and oversee the implementation of codes of conduct that engender a corporate culture of integrity; d) oversee the
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or