receive assets proven by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the
from the date on which the disruption occurs. Once the major operational disruption ends, intermediaries shall notify the SEC without delay. Clause 10 Intermediaries shall keep documents and evidence
without delay. Clause 11. A securities company shall keep documents and evidence relating to the proceedings under Clause 9 and Clause 10 for a minimum period of two years from the preparation date thereof
major operational disruption ends, the securities company shall notify the Office without delay. Clause 11. A securities company shall keep documents and evidence relating to the proceedings under Clause
company certificate dated June 18, 2020). The company has sent a letter to professional and consulting in order to provide evidence of their performance Business operation as ended June 30, 2020 of Dimet
business, a license certificate shall be issued as evidence and shall be in the form attached herewith. Clause 6 In deliberating an application under Clause 5, the SEC Office, in addition to reviewing the
. Yadapat Chinkrajangkit. The SEC investigation of the evidence has revealed that during September 2014 ? August 2016 the aforesaid persons jointly acted or conspired with or allowed or rendered assistance
delivered the same to clients as evidence. In addition, it was found that she deceitfully sold investment units of clients and revolved funds from other clients to return to clients in many other accounts