Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment consultant, had misappropriated clients’ money by withdrawing money from the clients’ banking accounts without executing the transactions that the clients had made. Besides, she made false evidence by forging the clients’ handwriting, subscription orders and switch orders or unitholders’ account books...
aforementioned assets. Moreover, the backgrounds surrounding NUSA’s petition for the Court’s revocation of the share swap contract with WEH shareholders remained unclear, with anticipated potential impacts on NUSA
Bangkok, 23 February 2024 – The Securities and Exchange Commission Board (SEC Board) has passed a resolution to recommend the revocation of digital asset business license of Zipmex Co., Ltd
(2018), the SEC Board has proposed that Minister of Finance consider revocation of the digital asset exchange license of Huobi. In addition, the SEC Board, by virtue of Section 35 Paragraph 2 of the
revocation of EGM of Shareholders’ resolutions and the request for the court to indicate provisional measures as well as contingency plan in case such impact occurs. 2. Who is the current Chairman
Revocation (section 104) |- Accounting and Records (section 105) |- Audited Financial Statements & Auditor Approval (section 106) |- Public Disclosure (section 108) |- Reporting & Notification Requirements
) |- Major Shareholders (section 90 and 91) |- Advertising (section 98(10)) |- Statutory Disqualifications for Management (section 103) |- OTC Securities Dealer (section 114) |- Revocation of License (section
Business dated 5 November 2008, and thus failure to maintain qualifications legally required of a derivatives business operator.The SEC Board has therefore ordered a revocation of the company’s derivatives
high net worth investors only. The new rules will become effective in a year after the announcement date to allow preparation of asset management firms? operations, except revocation of MF for non
Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities Broker-Dealers (section 113) Revocation of License (section 147) Service Outsourcing Guide for