, electronic genuine , computerized actual 1 - 10 of 6,147 results Sort by: Relevance Date (Newest) Date (Oldest) SEC revises rules for real estate -backed ICOs to enhance investor protection mechanism to
receiving appropriate level of protection. AI comprises (1) institutional investor* such as commercial bank, mutual fund, provident fund and (2) investors with high net worth, which means (i) an individual
the challenges in relation to consumer protection in digital/mobile financial services, one of the most current issues in focus of OECD.Mr. Andre ' Laboul, Chair of the OECD International Network on
ในผลิตภณัฑใ์นตลาดทุน Advice + pass on to trade : การใหบ้ริการใหค้ าแนะน าการลงทุนในผลิตภณัฑใ์น ตลาดทุนและไดรั้บการแต่งตั้งเป็นตวัแทนในการอ านวยความสะดวกเพื่อรับส่งค าสั่งซ้ือขายหลกัทรัพย ์ หรือสัญญา
? assets and using a client's trading account to trade securities for his own interest.Following Apple Wealth's inspection report related to clients? complaints against Sakkarin and the SEC's further
that during 4 January 2013 - 15 October 2014 {A}, then working for Thanachart Securities Public Company Limited, used the trading account of a client who was his mother to trade securities for himself
payment as ordered by the Settlement Committee. {A}'s acts were deemed as using client trading accounts to trade securities for herself and being the accomplice in share price manipulation scheme, in
found that he had been authorized to trade securities on behalf of the client. He had also used his client's account to trade securities for the benefit of himself with one day permission and credit line
Bangkok, January 25, 2011 - The SEC has suspended four investor contacts for using clients? accounts to trade securities for other persons, interfering with clients assets, and failing to use
. In Q2/2019 and the first six months of 2019, the Group has been affected by According to the Labor Protection Act (No. 7), BE 2562, additional compensation rates have been imposed in the event that