characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow: (1) In the case of {A}, she was found to fail to examine the correctness of
established under specific laws or any legal entity licensed to undertake finance or commercial banking business. “electronic data” means statements that are created, sent, received, stored or processed through
specific laws or any legal entity licensed to undertake finance or commercial banking business. “electronic data”1 means statements that are created, sent, received, stored or processed through electronic
any legal entity licensed to undertake finance or commercial banking business. “electronic data”1 means statements that are created, sent, received, stored or processed through electronic procedures
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
) Microsoft Excel ( 5 ) More >> http://172.19.1.196:8983/solr/secweb/select?q=digital asset OR "digital asset" OR "electronic property" OR "electronic possession" OR "virtual property" OR "virtual possession
Date (Newest) Date (Oldest) SEC Search :8983/solr/secweb/select?q=electronic property OR "electronic property" OR " electrical asset" OR " electrical possession " OR "digital asset" OR "digital
): .................................................................................................................................................................................... Wish to apply for Company Account from the SEC Office in the following manners: Not an urgent application (normal case) An urgent application (a 30-day expiry from the SEC Office’s approval date