securities business | - |- Registration |- Paid up Capital |- Fees |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC
draft prospectus and approval from the SEC. In addition, such offering must be made through the SEC-recognized ICO portals. This public hearing covers key issues in this matter, e.g., approval rules
Approval for Undertaking of Derivatives Business
Approval of Auditors in the Capital Market
Approval for Undertaking of Derivatives Business
Approval of Auditors in the Capital Market
Interest |- Securities Lending / Credit Balance (Section 102) |- Protection of Customer Assets (Section 98(3)) Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
Application for Approval and Granting of Approval for Offering of Newly Issued Shares