Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________
and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________ By
violation of law or relevant regulations is found or false information is disclosed or material information is concealed, the SEC would be able to take further action by virtue of the Securities Law. The
Official Dated 16/10/2017 misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting
intermediary shall comply with the provision as prescribed in Chapter 1; (2) in case of oversea representative office, the intermediary shall comply with the provision as prescribed in Chapter 2. The
rules: (1) in case of domestic or oversea branch office, the intermediary shall comply with the provision as prescribed in Chapter 1; (2) in case of oversea representative office, the intermediary shall
Bangkok, July 20, 2016 ? The SEC is seeking public comments on the proposed rules governing provision of investment services to promote intermediaries? competitiveness in the securities brokerage and