customer who is listed as a designated person or who has or had conducted transactions with such a person. Failure to do so may result in criminal penalty. In addition, a director, a manager, or a person
follows: (1) in cases where a securities company appoints a new person as director or manager, or in other cases than (2), the securities company shall submit to the SEC Office the following documents which
An unknown person From July 21 and August 20, 2007, Another unknown person person who was the beneficial owner of Miss Karuna Kaewmanee’s securities trading accounts colluded or agreed with Mr
executive as follows: (1) In cases where a derivatives business operator appoints a new person as director or manager, or in other cases than (2), the derivatives business operator shall submit the following
business for four years and eight months, starting from 12 January 2021.In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors of the person(s
Limited Hong Kong, which specialized in a diverse range of investment products and financial services for alien expatriates and residents in Hong Kong, Moscow, Shanghai and Bangkok. The aforesaid person had
range of investment products and financial services for alien expatriates and residents in Hong Kong, Moscow, Shanghai and Bangkok. The aforesaid person had not been licensed to operate securities
investment products and financial services for alien expatriates and residents in Hong Kong, Moscow, Shanghai and Bangkok. The aforesaid person had not been licensed to operate securities business. Thus, he
of investment products and financial services for alien expatriates and residents in Hong Kong, Moscow, Shanghai and Bangkok. The aforesaid person had not been licensed to operate securities business