derivatives broker, failed to maintain the net capital (?NC?) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange Commission. SEC Act S.97 Settlement
KTB Securities (Thailand) Public Company Limited KTB Securities (Thailand) Public Company Limited as a securities broker failed to comply with the rules, conditions and procedures as specified in the
in accordance with the rules, conditions and procedures of the notification of the office of the Securities and Exchange Commission. SEC Act S.141 Settlement Committee Meeting No. 5/2020
granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
(?NC?) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange Commission. SEC Act S.97 Settlement Committee Meeting No. 2/2021 Settlement Committee
accordance with the rules, conditions and procedures of the notification of the office of the Securities and Exchange Commission. SEC Act S.141 Settlement Committee Meeting No. 2/2021 Settlement Committee
with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board that is no system to control short position transaction underlying with SET50 index
procedures as specified in the notification of the Capital Market Supervisory Board by engaging in any other business which is not a licensed securities business without the Capital Market Supervisory Board’s
> Management of Mutual Fund > Procedures for incorrect pricing Regulations SHARE : Detail Content Management of Mutual Fund 7. Procedures for incorrect pricing (1) Retrospectively price correction only for