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=440&rows=10 441 - 450 of 461 results Sort by: Relevance Date (Newest) Date (Oldest) SEC warns the public and investors to be cautious of unlicensed business operators service providers involved in
securities business supervision: For example, repeal of the minimum requirement of paid-up registered capital of securities company, allowing the SEC Board to use discretionary power to prescribe required
Bangkok, September 25, 2014 - The SEC organized ?3rd SEC Working Papers Forum?, jointly with the Faculty of Business Administration and the Faculty of Management Sciences, Kasetsart University
misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of
country. In the future, they might move forward to other capital market businesses; for example, a business of limited broker, dealer and underwriter (LBDU), if they are able to meet with the requirements