director or executive of juristic person listed on the Securities Exchange or traded in any over-the-counter center who contravenes Section 307 308 309 310.) Q: What level of suspicion and severity of
investment type as follows: 1. Bank Deposit 2. GSB/BAAC Lottery 3. Common Stock 4. Real Estates 5. Precious Metal 6. Personal Share 7. Insurance Policy 8. Cooperatives 9. Government Bond 10. State Enterprise
the Securities and Exchange Commission  Kor Khor. 8/2554 Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives (Codefied) 28
. Notification of the Securities and Exchange Commission  Kor Khor. 8/2554 Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives
information, fairness and compliance ? there must be no grounds of suspicion regarding the issuer's intention to avoid regulatory compliance or exploit investors ? and integrity of directors and executives who
that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to
the manner that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate
distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to-date. Also, the
warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance
that they are issued by the servicing securities company. In case of suspicion, investors should contact the compliance officer of the securities company without delay. In any case, investment