a reasonable and necessary ground and that such securities trading is without the intention to seek benefits in the manner of exploiting the clients, or shall be able to demonstrate that there is a
broker under Paragraph 1(2) ceases to operate the derivatives business as the derivatives broker and has given a written notice of such intention to the SEC Office, such securities company shall maintain
operate the derivatives business as the derivatives broker and has given a written notice of such intention to the SEC Office, such securities company shall maintain the net capital at the end of any
later entirely cancelled. His intention in placing selling orders was to test the market, without intention to execute transactions, in such a way that misleads other persons regarding the price or
. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders
Chonladet Khemarattana along with committee members, and representatives from crowdfunding portal service providers. The purpose of the meeting was to discuss and exchange ideas and suggestions regarding
(BAAC) for a knowledge sharing session on “Data Governance.” The purpose of the visit was to study the SEC’s data governance practices, particularly the application of technologies in both governance
investment purpose. The SEC Board Meeting No. 3/2565 dated 3 March 2022 passed a resolution approving the principles for prohibiting digital asset business operators from using digital assets as a means of