investment scheme, securities company shall proceed to examine investor’s qualifications at least as follows: (1) arranging investor to self-declare identity; (2) requesting information and documents
effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system shall not be effected, which
) received assistance from the persons under (4) ? (7) in jointly arranging for a subsidiary company of TRITN, Splash Media Public Company Limited* (SPM), to enter a five-year rental contract for three
transfer was prearranged, starting from Auracha's opening a trading account for her mother without declaring their relationship to the company and arranging for the transfer even though it was not her duty
the company and arranging for the transfer even though it was not her duty to do so and she was not the investment consultant in charge of such client?s account. Auracha later arranged for AEC back
, as a policy-maker and executive authority, plays an important role in establishing an appropriate accounting system and internal control system, as well as arranging resources, mechanisms and tools
asset dealer. Digital asset exchange means a center or a network established for the purposes of trading or exchanging of digital assets, which operates by matching orders or arranging for the