Undertaking) หรือได้เปิดเผย ข้อมูลการด าเนินการของส านักงานเกี่ยวกับการปฏิบัติหน้าที่บกพร่องของบุคคลดังกล่าวแล้วแต่กรณี (3) ค าขอความเห็นชอบที่ยื่นภายหลังการให้ความเห็นชอบคร้ังล่าสุด ซึ่งส านักงานให้ ความเห็น
Securities and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically define the terms
and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically define the terms “institutional
the Office of the Securities and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________
and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________ By
operation with the approval from the SEC or the Office or has restarted such transaction. (3) Any securities company, which is suspended by order of the SEC or the Office from undertaking securities business
securities company, which is suspended by order of the SEC or the Office from undertaking securities business in any particular category or any particular transaction that requires reporting, and when the
, which is suspended by order of the SEC or the Office from undertaking securities business in any particular category or any particular transaction that requires reporting, and when the order of the SEC or