, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
targeted audience? 2 How does the firm manage internal communication channels and/or methods to ensure that the most appropriate approaches are taken in urgent circumstance? (e.g., using multiple channel and
. − − ✓ Remarks: 6 Application must be submitted within 5 years as from the expiration date of the previous approval. 7 A full course must have been taken for not more https://www.sec.or.th/EN/Documents/Personel
taken for not more https://www.sec.or.th/EN/Documents/Personel/Qualifications%20of%20Securities%20Investment%20Analyst%... Section 98 allowing such transaction; (5) sell securities without having
มูลค่าการซื้อสินทรัพย์ดิจิทัล https://publish.sec.or.th/nrs/9646p.docx translate-spv.docx incurred in the actual handling of the matters shall be taken into consideration without the principal intention
, expenses and charges incurred in the actual handling of the matters shall be taken into consideration without the principal intention being to generate revenue. The fees shall become the property https
/ActandRoyalEnactment/LawReform/summary-decree-digitalasset2561.pd... freshfield 5, expenses and charges incurred in the actual handling of the matters shall be taken into consideration without the principal intention
, and some also suggested that the timeframe for the preparation and disclosure of PVD factsheet should be consistent in practice across all asset management companies (AMC). The SEC has taken the