SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
and understanding of business operation. The SEC took such suggestions into consideration in revising the proposed principles to enhance suitability. The SEC, therefore, issued two relevant
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
www.happypvd.com Training courses on the SEC Network for the public, SEC financial education caravan, exhibitions, surveys of the business sector. ✓ 1.2 Sources of personal data The SEC Office receives your personal
client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is https://publish.sec.or.th/nrs/6086pe.doc บท
agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
supervisor; (4) a private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person assigned by such
=30&rows=10 31 - 40 of 15,636 results Sort by: Relevance Date (Newest) Date (Oldest) SEC advises the public to be cautious about using services of unlicensed digital asset business operators SEC