executive of a financial institution whose license is revoked, unless an exemption has been granted by the Office; (4) Having been removed from a position of director or manager in accordance with Section 144
exemption has been granted by the SEC; (4) being a director, a manager or a person with power of management of any other securities company; (5) having been removed from a position of chairman, director or
derivatives broker has been granted a waiver for appointment of independent director under the rules prescribed by the notification issued by virtue of such law, it shall be deemed that such derivatives broker
Ending 31 Mar 2019 SEC has ordered to amend Finanacial Statements ( 2 record(s) found) Name Description Details WE RETAIL PUBLIC COMPANY LIMITED SEC Granted DAIDO a Waiver from Submitting its Rectified Q1
be considered the undertaking of securities, derivatives, and digital asset businesses without licenses, including the services beyond the scope of granted licenses*, and may be subject to
) renew the personnel service agreement with Sutat Chudjen Co., Ltd., whereby the Board of Directors has also resolved to approve the authorization of the Executive Committee or any other person entrusted
through his client's account without evidence of client's orders. The SEC found out from the recorded conversation between {A} and the client, which showed that the client had entrusted {A} to send trading
Connected Transaction (granted financial assistance) and impact on the submission of the petition requesting for entering into business rehabilitation plan of G Steel Public Company Limited To: President The
first paragraph, the term of “ foreign collective investment scheme ” means a collective investment scheme established under foreign law provided that it has been granted approval, registered or