e-service Online Submission See canceled document Investment Advisory >> Activities not deem to be classified as operating securities business Type Title Section See Document Status Notified Date
revocation for actions that do not significantly affect operational systems or service delivery. In any case, digital asset business operators still have the duty to maintain qualifications related to
from persons who were not the owners of the accounts or were not authorized in writing by the investors. Their acts caused damage to the clients during February – November 2018.The misconduct of the
net capital. This shall provide a period of time for the business operator to take corrective actions to ensure that the subordinated liabilities portion not considered as total liabilities does not
by not using knowledge and expertise as professional.In case of {B}, the SEC received a complaint from client of a brokerage firm that {B} had sent trading orders through client's account without
investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
whether or not there would be any proposals for such Trade Debt as mentioned above to SSG Group. On 4 October 2017, 2. Business Outlook on Q4/2017 Management’s Discussion and Analysis (MD&A) For Q3/2017 3
, a growth in passenger traffic was supported by 4.8 percent increase in Revenue Passenger Kilometers (RPK). European region had the highest growth at 6.4 percent, followed by Asia Pacific and Latin
Bank of Thailand). The overall global aviation industry in the first half of 2019, a growth in passenger traffic was supported by 4.7 percent increase in revenue passenger kilometers (RPK) where Europe