SEC Office, the SEC Office may not use such prohibited characteristic to decline to grant an approval, suspend or revoke an approval or prohibit from performing duties. In this case, the SEC Office may
need to resign; · require the documentation of all considerations and justification where firm chooses to safeguards against rather than eliminate a threat; · prohibit audit team members from making or
of all considerations and justification where firm chooses to safeguards against rather than eliminate a threat; · prohibit audit team members from making or assuming responsibility for management
shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency . Notified this 17th day of January 2017. (Mr. Rapee
, the intermediary shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency. Notified this 17th day of January 2017
the specified period, the intermediary shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency . Notified this
fail to attend such training course within the specified period, the intermediary shall prohibit such personnel from providing services to clients regarding investment in capital market products
derivatives agents to restrict or prohibit a client from acquiring further position, to close its trading accounts or to liquidate his/her position if the client’s derivatives transactions have or may have
empowered to prohibit digital asset businesses from engaging in any particular digital-asset-related activity, or to suspend their operations wholly or partially. F. The Prevention of Unfair Trading Practices