possession, nor did she return the borrowed money to the client as agreed.The misconduct of Nutnicha was failure to perform duties honestly by committing wrongful acts against clients’ assets, which was a
select from. In so doing, the SEC Board would take into account the candidates’ possession of essential knowledge and experiences for managing the SET operation to ensure the SET stability, credibility and
to receive assets proven by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the
receive assets proven by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the
receive assets proven by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the
prescribed in the Notification No. KorChor. 8/2553, the company shall notify the possession of the first or the second category of the untrustworthy characteristics without delay, except for the cases that the
-incompetent person; (2) I am a person not eligible to serve as director, manager, person with managerial authority or advisor of financial institution because of the possession of prohibited characteristics
legal proceedings under the law governing securities and exchange and notifications issued by virtue of the said law. Clause 5 Other than the reasonable grounds of lack of qualifications or possession of
World Federation of Exchanges (WFE) or debt instrument having organized secondary market; (3) having policy to invest in the similar assets as those permissible to invest in or to have in possession by
Exchange Commission KorDor. 30/2540 Re: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities 31/07/1997 5. Notification of the Securities and Exchange Commission