financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
country or jurisdiction specified in the database in Clause 14(3); (2) a corporate client with complex shareholding or functional structures that may raise doubt or difficulty in determining the true
business address is in a country or jurisdiction specified in the database in Clause 14(3); (2) a corporate client with complex shareholding or functional structures that may raise doubt or difficulty in
. Drafting single form is based on the principle of gathering necessary and sufficient information to ensure provision of appropriate services in compliance with the law, and to provide ease of filing for
addressed by everyone. As a result, those who fail to seriously emphasize on adopting the said practices will face the difficulty in running businesses in the future.
statements. The request was made on the ground that the independent financial advisor is in process of exploring and gathering documents and evidence as well as more information from overseas authorities for
SEC Secretary-General, Ruenvadee Suwanmongkol, said, "The efficiency of law enforcement depends in one part on the competency in gathering and testing the evidence. Currently, the offenses in the
submission deadline to July 2, 2012 to allow it more time to complete the process of gathering accounting documents and evidence as well as preparing supplementary details to satisfy the auditor?s audit
brokerage business, securities dealing business, securities underwriting business, mutual fund management business and securities borrowing and lending business (SBL); (2) KYC providers, gathering and