orders from such client. They just submitted trading orders as directed by {A}. Furthermore, they had never conducted KYC/CDD for the client because {A} prohibited them from doing so. Also, {B} received
.49/2552 and Clause 20(2) of the Notification No. TorLorThor. 3/2555 was the 3rd category of prohibited characteristics of the capital market business personnel under Clause 6(1) of the Notification of
Clause 14(2) of the Notification No. SorKhor.49/2552 and Clause 20(2) of the Notification No. TorLorThor. 3/2555 was the 3rd category of prohibited characteristics of the capital market business personnel
significant adverse impact on the credibility required of capital market business personnel. Both types of conduct are deemed the prohibited characteristics of capital market business personnel under the
doing, the SEC emphasizes the importance of considering potential impacts on the public who use these digital asset platforms and gives them time to manage their accounts before access is restricted
regulations may be relaxed in case holding company is deemed to have control over the businesses according to accounting standards or is restricted by law or public joint venture. The amendment aims to
. ("YNPI"), YNP?s subsidiary, which did not comply with the generally accepted accounting principles. Moreover, auditor was restricted by the company?s executives in accessing material information necessary
seeking an approval to act as a mutual fund manager shall not possess any of the following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an
following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an offense relating to property committed with dishonest intent; (3) Having been an