for the purpose of considering an application for account opening and giving of investment advice to such client. A securities company shall conduct know-your-client procedures on a continuous basis. In
for the purpose of considering an application for account opening and giving of investment advice to such client. A securities company shall conduct know-your-client procedures on a continuous basis. In
shall conduct the Know Your Client procedure on a continuous basis and update the information on the client, the beneficial owner and the person controlling the derivatives trading, as well as review the
shall contain the information prescribed and notified by the SEC Office at a minimum. Clause 27 The derivatives broker shall conduct the Know Your Client procedure on a continuous basis and update the
shall contain the information prescribed and notified by the SEC Office at a minimum. Clause 27 The derivatives broker shall conduct the Know Your Client procedure on a continuous basis and update the
matching status • Order cancellation • Projected price & quantity • Imbalance (Buys – Sells) • Reversals Continuous Market Starts • Spreads • Market depths • Realized volatility • Weighted price contribution
including the work-from-home cooperation, the SEC adopted a remote approach for inspection of audit firms’ quality control systems, which enabled the SEC to maintain a regular inspection of such systems. In
Excavation 3 Soil and Coal Milling Project at Mae Moh Mine, Contract No.6 decreased. Due to heavy rain in the project area, the operation could not be done at full capacity resulting in the loss from regular
assessable income as an additional personal income tax allowance, separate from the tax allowance for investment in Super Savings Fund regular, and not subject to the ceiling of the tax-deductible amount
allow eligible Hong Kong and Thai public funds to be distributed in each other’s market through a streamlined process.The MoU establishes a framework for exchange of information, regular dialogue as well