brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom
the applicant to attend the first training course after having been granted an approval. The required course shall be a refresher course relating to law on securities and exchange, applicable rules and
in the register of person qualified to be fund manager. In granting an approval according to the first paragraph, the Office may specify a period for the applicant to attend the first training course
due course.
principles for supervising additional digital asset businesses before proposing the Ministry of Finance to issue ministerial regulations in due course. ______________________________
, please call SEC Help Center at 1207 for further investigation in due course.
), which is punishable under Section 274. In addition, the responsible management may be liable to punishment as prescribed by law. The SEC shall consider further legal action in due course
} did not record a number of client's securities trading orders. Certain records found in the course of inspection indicated that he prepared the securities trading report for the client by using trading
Plc. (LVT) concerning alleged unfair treatment in course of the SEC investigation.The SEC Deputy Secretary-General Vasant Thienhom revealed that ?the interview is a process of gathering evidence in