dishonest acts against clients? assets, using clients? trading accounts to seek their own personal gains and acting beyond their scope of duties.Veerachai and Jakkrit worked at Capital Nomura Securities
Advisors and Scope of Work. The SEC, therefore, has suspended the approvals of {X1} Securites and {A} as financial advisor and financial advisory supervisor throughout the remaining periods of their
implementation. 2. Entering a Business Assistance Agreement with AM: IFA is of view that the scope of services, service fee, and other terms and conditions from the agreement are reasonable for GJS?s current
giving advice on trading derivatives contracts with underlyings of gold, precious metals, oil and foreign currencies, in a foreign market beyond the scope of permissible businesses granted to her employer
director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for
general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for undertaking 2
Funds as a result of Merger and Amalgamation of Mutual Funds dated 26 October 2000 which are in effect prior to the effective date of this Notification shall remain in full force to the extent that they
Securities Companies to Proceed with Customer Complaints dated 1 February 2002 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that they are
Companies to Proceed with Customer Complaints dated 1 February 2002 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that they are neither