{G}. The SEC found from the routine inspection that {A} frequently failed to record her clients' derivatives trading orders while {B}, {C}, {D}, and {E} frequently failed to record their clients
under investment promotion schemes granted expenditure reduction around 1.5 times. However, the expense on the increasing number of kiosks does not frequently happen on account of a long-term investment
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Thailand (SET) to discuss possible solutions to the AGM holding of listed companies amid the spread of COVID-19, SEC has disseminated the circular and frequently asked questions to inform all listed
} frequently failed to record his clients' securities trading orders as the same as {B} case as reported by his employer Phara Securities Plc. Both persons admitted that they took those orders via mobile phone
Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the
from SCB Securities Co., Ltd. that {A} frequently failed to record her clients' securities trading orders. She then admitted that when orders had been executed completely from many of her clients, she
, infrastructure funds, infrastructure trusts and real estate investment trusts (REIT).The proposed rules would require regular disclosure of the annual registration statement, annual report, financial statements as
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