operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
Consultant and Director & Executive. 2023 2022 /2 Excluding the cases where the SEC Office issued warning letters which are not deemed administrative sanction /1 Including investment analyst Types of Personel
development of new products with more complexity which requires additional criteria; for instance, structure of return on investment and warning of complex features and significant specific risks associated
in Need (of “PA”) Volunteers Network, supports the foundation's activities, particularly in the Community Disaster Warning Network 2023 Project. This collaboration aims to enhance the efficiency of
อยกวา 25 ลานบาท 2. การเปลี่ยนแปลงระดับ early warning สําหรับบริษัทหลักทรัพยและกําหนดระดบั early warning สําหรับผูไดรับใบอนุญาตเปนตวัแทนซื้อขายสัญญาฯ 2.1 กรณีบริษัทหลักทรัพย แกไขระดับ early
of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3
warning of possible breach of investment terms in the redemption form.Given that the redemption was ahead of the five-calendar-year holding requirement to be eligible for the LTF tax benefits, {A}'s failure
& Informed Consent (FPIC) Requirement .......................................................................................................... 17 3.9 Best Practice for Disclosure
22,148,612.01 1,949,899.88 1 2 Offences/Year 2023 Signed a Letter of Consent Filing a lawsuit to the Civil Court Director of Company Unfair Securities/Digital Assets Trading Activities *This offense was committed