., for one-year eleven months and fourteen days. The period was set on the grounds of trading securities in the client?s account without permission, taking advantage of client by virtue of duty and

but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public

Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed

Building Confidence in the Capital Market No. 115/2017 SEC notifies PACE to clarify the fair value measurement of its investment Bangkok, 16 November 2017 – The SEC has notified Pace Development

investments means the difference between the book value and fair value of investment, which is determined by the Accounting Standard to be reported in the shareholders’ equity. 25. Retained earning (deficit

(deficit) in investments means the difference between the book value and fair value of investment, which is determined by the Accounting Standard to be reported in the shareholders’ equity. (Translation) -20

book value of the asset. 24. Revaluation surplus (deficit) in investments means the difference between the book value and fair value of investment, which is determined by the Accounting Standard to be

Office of the Securities and Exchange Commission No. OrNor. 2/2545 Re: Permission for Appointment of Advisor of Investment Advisory Company dated 29 January 2002; (8) The Notification of the Office of the

No. TorThor. 45/2553 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Securities Company to Establish Branch Offices (No. 2) _____________ By virtue of

suggestions of the private sector and stakeholders who took part in the previous hearing on the governing prinicples.Key points of revision include (1) permission for mutual funds offered for sale to