Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
and financial literacy. The SEC Open House was not only attractive and stylish but comfortable enough for all visitors to make themselves at home. We obtained a very warm welcome from investors and the
companies licensed to undertake the said businesses. In addition, the revisions will extend the scope of transactions subject to segregation to cover offshore securities trading service, brokering, dealing
Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9
save and invest earnestly in order to meet life goals and have comfortable and secure retirement. The SEC always takes an active role to promote financial literacy for people from all walks of life
employees to have financial management and planning skills, better standard of living and ability to afford comfortable retirement. Under the program, human resource unit of each employer will play a key role
Technology |- Business Continuity Management (BCM) |- Arbitration |- Appeal |- Others | - |- Public Holidays (Section 110) | - |- Segregation of Finance and Securities Business & Merger (Section 90
Holidays (Section 110) | - |- Segregation of Finance and Securities Business & Merger (Section 90) | - |- Related Organizations with Securities Business (Section 230) | - |- Others