with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of Clause 23
together with evidentiary documentation in accordance with the procedures and methods specified in the Licensing Manual for the Public: (1) consisting of at least fifteen securities companies; (2) the group
evidentiary documentation in accordance with the procedures and methods specified in the Licensing Manual for the Public: (1) consisting of at least fifteen securities companies; (2) the group of securities
LIMITED SEC has ordered AI Energy Public Company Limited (AIE) and its parent company Asian Insulators Public Company Limited (AI) to cooperate with their auditors for the audit of the companies’ annual
, the SEC Board ordered Zipmex to return assets to its clients as per their requests.Later, at the meeting on 21 February 2024, the SEC Board considered that Zipmex had failed to comply with the
, Sakkarin tricked the client to believe that there were trading transactions in the client's account at Apple Wealth by showing fake trading documents to the client. Later, the client ordered to sell shares
her employer for six months. The SEC thus ordered another two months? suspension to complete the term. AEC Securities: (10) {K}, capital market investment consultant and investment planner, is
following qualifications intends to participate in a regulatory sandbox , the person shall submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in
intends to participate in a regulatory sandbox, the person shall submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in accordance with the