investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives

and secured environment in accordance with the manufacturer’s instructions (if any); 2.5 establish security procedures for physical media transfer from the operating areas. 5. Access Control 5.1

environment in accordance with the manufacturer’s instructions (if any); 2.5 establish security procedures for physical media transfer from the operating areas. 5. Access Control 5.1 Business Requirements of

demonstrate that the applicant would have readiness of personnel responsible for business of trustee. Clause 4 An applicant shall submit an application together with the relevant evidentiary documentation to

trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain

documents in full according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or

the Notification No. Tor Thor. 60/2561, the intermediary shall submit an application for approval to the SEC Office together with the evidentiary documentation specified in the Licensing Manual for the

documents in full according to the procedures specified in the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or filled up at the

On 11 April 2024, NEWS published the AGM 2024 notice together with supporting documentation on the company’s website. The meeting agenda covered the consideration for approval of an increase in

developed such as One For All Reporting System (OFAR) to reduce documentation burden for those making contact with the SEC and shorten the period for processing and disseminating information to the