also arise from improper auctioning of collaterals. Additionally, providing loans for securities trading in a manner that may constitute lending to a single group of individuals without restrictions on
conflicts and prevent potential labor disputes that could arise from unfair termination of employment. Moreover, Kitti’s continuous contributions have significantly spurred the company’s growth. In addition
. If issues arise, investors should be able to seek remedies and solutions from protection mechanism, depending on the types of risks and the types of products and their providers. Effective investor
. Hence, if the public sector did not come in to regulate, it would be possible for frauds, scams or unfair activities to arise and consequently damage the trading confidence and investors themselves
other returns or postpone the deadline for interest or other return payments if any events that may arise having effect on net capital of the business operator, as specified by the SEC; (2
; (b) the information and statements which appear in the application for approval are correct, complete and free from misleading messages, and the certification of information and statements in this case
prior to the date the branch office starts its operation, it must not appear that the securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an
operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance; In the case where the derivatives broker lacks of qualification