decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his
similar period of time; (4) Placing, modifying, or cancelling a securities trading order during the pre-opening or pre-closing period of the Securities Exchange or the over-the-counter center, as the
similar period of time; (4) Placing, modifying, or cancelling a securities trading order during the pre-opening or pre-closing period of the Securities Exchange or the over-the-counter center, as the
to postpone the acknowledgment and the agreement to pay the civil fine by 30 days (to 3 October 2018), citing a busy schedule. But the SEC did not allow the postponement on the ground that it was
: The SET shall comply with the regulatory objectives and the operating rules of securities exchange. In issuing, revising or modifying its rules and regulations, the SET must conduct a hearing session
are allowed to also inform the SEC of the names of foreign business operators instead of only the names of the foreign personnel as previously required; 2. Modifying the requirements for notifying the
at least on a quarterly basis;5. Modifying consideration procedures of underlying indices, management strategies, and disclosure requirements for inbound foreign ETFs to be in line with those
, according to their underlying assets, but at least on a quarterly basis; 5. Modifying consideration procedures of underlying indices, management strategies, and disclosure requirements for inbound foreign
firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm
. Hence, despite the lost in revenue, the overall margin for accounting and financial outsourcing did not suffered. For the ERP business, it was a year that we were busy fulfilling the backlog from last