the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall be submitted to the SEC Office. This case is expired. SEC Act S.106
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for selling and buying
procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee Meeting No. 4
course of increasing the distribution of products to cover the relevant areas in place of sales from one of the previous distributors whose distribution agreement had been terminated last year, and started
to 4th Quarter 2020, although sales in tourism dominated provinces are still significantly affected by the COVID-19 situation. The Company has put measures in place to ensure that we continue to serve
as making use of capital market and increasing competitiveness in the global arena to attract investment from global investors.The SEC has widened access to the capital for SMEs thorough the ?Pride of
as making use of capital market and increasing competitiveness in the global arena to attract investment from global investors. The SEC has widened access to the capital for SMEs thorough the ?Pride
or omits to act in order to obtain unlawful gains.) Section 312 (Director or manager permits another to commit dishonest act in the account or document) and; Section 313 (Increasing penalties for