No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices _____________ By virtue of Section 14
of the Securities and Exchange Commission No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch
., for one-year eleven months and fourteen days. The period was set on the grounds of trading securities in the client?s account without permission, taking advantage of client by virtue of duty and
but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public
Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed
to order or act duty resulting in Beyond’s engagement in any other business which is not a licensed securities business without permission from the Capital Market Supervisory Boards approval which
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ โปรดรอสักครู่... งาน สัมมนา Stakeholders Conference 2 020 วันที่ : 01/12/2020 - 01/12/2020 เวลา : 9.00 – 12.00 น. สถานที่ : ณ โรงแรมคอนราด ชื่อ
นางสาวจอมขวัญ คงสกุล รองเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้าร่วมเสวนาในงานประชุมนานาชาติ (International Conference) ครั้งที่ 12 ภายใต้หัวข้อ "Strategic Insights
Symposium organized on 28 February 2024.Thai SEC Secretary-General gave the opening speech for the ASIFMA Gala Dinner held before the ASIFMA Annual Conference.