from clients to accommodate the SEC’s request. 4. I well recognize and understand the requirements in the notification of the SEC regarding to the approval of foreign auditors and I am willing to comply
? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
give advice for those who are interested to operate business from now in order to make them understand standards in each aspect. This will be preparation for submitting applications for licenses once
): .................................................................................................................................................................................... Wish to apply for Company Account from the SEC Office in the following manners: Not an urgent application (normal case) An urgent application (a 30-day expiry from the SEC Office’s approval date
Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but
Application Form for Approval of the Offering for Sale of Newly Issued Shares and Procedures for Filing of Application (No. 2)
Rules, Conditions and Procedures for Application for and Approval of Offer for Sale of Newly Issued Debentures to Investors in Foreign Countries (No. 2)
Rules, Conditions, and Procedures for Application for and Approval of Offer for Sale of Newly Issued Bonds to Investors in Foreign Countries
Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertakin
Rules, Conditions, and Procedures for Application for and Approval of Offer for Sale of Newly Issued Bonds to Investors in Foreign Countries