? accounts and (2) collateral for opening the account in item 1 for the purpose of trading the securities he had acquired wrongfully; 3. Deceiving the receivers of the transferred money into believing that

provided in the account opening process of new clients. In this regard, the information provided must be accurate, complete, up-to-date, and clearly separated from other information. In case of significant

retail players. Besides, from investigating into their bank accounts, information on opening brokers? accounts coupled with authorization of trading execution, no connection between those players was found

Sucharitkul said “SEC is now opening for applications for operating digital asset businesses as Ministry of Finance’s announcement on digital asset licensing has come into force. Interested parties can apply

SEC revealed that at the 7th ARFP Working Group meeting, the progress of opening a funds passport was discussed. The member countries that are ready to submit a request for approval for sale are

information and associated risks carefully and thoroughly when deciding to open a trading account for each product type. For example, opening a derivatives trading account for a block trade comes with various

for not less than three years and must not appoint any sub-selling agents;2.2 The selling agent can only perform the functions of (1) accepting account opening applications, (2) giving clients

opening application form and supplementary documents out of the office. The SEC is of the opinion that taking out company assets without authorization and clients? trading information which is considered

In her opening remarks at the online seminar on 25 November 2020, Ruenvadee Suwanmongkol, Secretary-General of SEC, stated: “The aims of the online seminar are (1) to help listed companies gain a

’ acknowledgment or consent.  _________________________Notes:* At-The-Open order (ATO) is an order to buy or sell securities at the session’s opening price. Trading orders of this kind are sent during pre-open