be properly supervised by the business providers and for a more effective supervision system to make the regulatory system more efficient and comply with international standard, such as, the right to
/201712/17101199.pdf 6611pe.doc trading orders by themselves through an electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market
of investor’s wealth creation and the fund raising of issuers. SEC supervised the intermediary and has collection of annual fees at the current rate for some time.SEC, therefore, has a plan to revise
as well as licensees which cease business operations.For financial institutions supervised by other lead regulators and licensed to operate securities or derivatives businesses, such as commercial
following Divisions and Departments: 2.1 Enforcement Division comprises Enforcement Department, Litigation Department and Administrative Appeals Center, supervised by Assistant Secretary-General
remuneration, tax penalty, and accounts receivable previously recorded as stock under consignment in 2011 and subsequently re-arranged to sale transactions in 2012. The SEC, therefore, has instructed TUCC to
November 11, 2014 Charin, then PAP independent director, arranged a sale of 147,000 PAP shares in which he had a stake held in the trading account of another person. In so doing, he took advantage of the non
subsequently re-arranged to sale transactions in 2012.The SEC, therefore, has instructed TUCC to cooperate with the auditor to supply all necessary information and evidence and to rectify the financial
consignment in 2011 and subsequently re-arranged to sale transactions in 2012. Subsequently, TUCC requested an extension of the above deadline for submitting the rectified and reviewed financial statements of
against RAM documents arranged for RAM by arranging for RAM to sell its acquired shares of Kiatnakin Bank Public Company Limited (“KKP”) to his related persons at a price significantly lower than the market