., for one-year eleven months and fourteen days. The period was set on the grounds of trading securities in the client?s account without permission, taking advantage of client by virtue of duty and

to order or act duty resulting in Beyond’s engagement in any other business which is not a licensed securities business without permission from the Capital Market Supervisory Boards approval which

but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public

Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed

ยั่งยืน การประเมินและติดตามความเสี่ยงเชิงระบบ และการทำงานแบบระยะไกล (remote working) รวมถึงแลกเปลี่ยนข้อมูลเกี่ยวกับผลกระทบจาก COVID-19 และโครงการต่าง ๆ เพื่อยกระดับความร่วมมือด้านการกำกับดูแลในระดับภูมิภาค

the COVID-19 pandemic, issues relating to remote working, operational resilience, and fraud and scam inspection will also be discussed. On 11 March 2021, EU-Asia Pacific Forum will be held and

No. TorThor. 45/2553 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Securities Company to Establish Branch Offices (No. 2) _____________ By virtue of

Court to grant a permission for the assessment of the value of mining property rights and thus could not disclose the information within the original deadline. EARTH has already requested a permission

suggestions of the private sector and stakeholders who took part in the previous hearing on the governing prinicples.Key points of revision include (1) permission for mutual funds offered for sale to

Section 92 of the Securities and Exchange Act B.E. 2535 (1992) permits securities companies to establish a branch office upon approval from the Office where the request for permission and granting