as consultants to securities companies or relating to investment management, and other work within the scope of performing duties as personnel in the capital market business.  

dishonest acts against clients? assets, using clients? trading accounts to seek their own personal gains and acting beyond their scope of duties.Veerachai and Jakkrit worked at Capital Nomura Securities

Advisors and Scope of Work. The SEC, therefore, has suspended the approvals of {X1} Securites and {A} as financial advisor and financial advisory supervisor throughout the remaining periods of their

provide the five-step wealth advisory service under the scope of their licensed business. Other interested business operators may submit an application for approval to SEC and SEC will consider their

Previously SEC had a policy to support securities companies and derivatives business operators in Thailand (or intermediary business operators) to expand their scope of services for Thai investors to

-digitalasset2018.pd... hearing322567en.pdf follows: 1. The amendment to the definition of “ digital asset ” by reducing the scope of digital asset from being an electronic data unit created in any electronic system

reprimand, administrative fine, restriction of business operation, business suspension and license revocation, etc. In this regard, the scope of power of the order issuers varies depending on the level of

/YEAR AVERAGE INTERRUPTION DURATION INDEX CLIMATE RESILIENCE CARBON NEUTRAL ZERO CARBON EMISSION OF ORGANIZATION’S OPERATIONS (SCOPE 1 & 2) CIRCULAR ECONOMY 100% ACHIEVE ZERO E-WASTE TO LANDFILL, AND USE

holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager" already falls within the scope of “the first four executives succeeding the manager and

โดยข้าพเจ้า และข้าพเจ้าผูกพันรับผิดชอบต่อ https://publish.sec.or.th/nrs/2827p.doc acceptance.doc (such as ownership , management, nature of business or financial position); · Changes in the scope of