According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
which defendant agrees to the plaintiff to pay full debt and interest. Currently, the debtor is at the default under the court ruling, the company lodged a petition before the court to request for an
the category of securities brokerage, securities underwriting and securities dealing, may file an application for additional securities business licenses it has not yet obtained by complying with rules
the category of securities brokerage, securities underwriting and securities dealing, may file an application for additional securities business licenses it has not yet obtained by complying with rules
Rules on Application for Waiver of Tender Offer for All securities of a Business by virtue of a Resolution of a Meeting 2 of Shareholders of the Business; (6) “tender offeror” means a person who makes a
Manual for the Public. In this regard, the SEC Office shall complete the consideration of the request for the waiver within the same period for considering the application under Paragraph 2. 1 Amended by
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
: Clause 1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting
1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting