pays the application fee and submits the payment evidence to the SEC Office. The SEC Office thus issues a letter accepting Form 61-1F into the process of granting approval. 1 day Accounting Supervision
, starting from December 22, 2015. On other cases, {B} was found accepting orders to trade securities in a client's account from a person who was not the owner of the account without any written authorization
consultant and prohibited her re-entry as capital market personnel for 10 years, starting from December 22, 2015. On other cases, Nattapon was found accepting orders to trade securities in a client?s account
offering to facilitate merchants and businesses in accepting digital assets as payment for goods and services such as by setting up digital asset settlement systems. This may result in a wider adoption of
Sale of Units of Foreign Collective Investment Scheme. Clause 7 Prior to accepting to be a selling agent of units of foreign collective investment scheme, a securities company shall arrange to have a
mutual fund management company shall request a waiver from the SEC. (3) Any other cases for which the fund management company reserved the rights (only for accepting purchasing orders) as provided for
deficiencies in those elements. - Conduct proper resource planning prior to accepting the engagement to ensure that the human resource to deliver quality audit would suffice. - The firm’s leaders constantly
the clients’ information under Paragraph 1(3) is in process, the intermediary shall provide services to the clients with regard to accepting sale orders or clearing the outstanding positions of capital
accepting sale orders or clearing the outstanding positions of capital market products in the clients’ accounts only, unless the intermediary is prohibited from accepting the sale orders or clearing the