specified by the intermediary , for instance, requiring the client to deliver additional information or suspension of service for the purpose of preventing or inhibiting the action of market abuses or
providing services as specified by the intermediary , for instance, requiring the client to deliver additional information or suspension of service for the purpose of preventing or inhibiting the action of
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...
for preventing and suppressing digital asset-related frauds and faster measures to contain damage incurred from such frauds that affect the investing public. The next step is to discuss methods and
developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from
bought. This reflects that the equity funds might have the return-chasing behavior, and potentially suppressing returns for individual investors. More information can be found here http://bit.ly
of building confidence in the capital market. Implementing lawsuits quickly and actually against law violators will have the effect of suppressing and deterring wrongdoing in the future. Therefore, the
The MOU with the AMLO aims to enhance collaboration for the benefit of preventing and suppressing money laundering with a focus on mutual sharing of information and agency-specific expertise. This
undertaking derivatives business without license. In combating and suppressing against illegitimate businesses, the SEC also alerts investors in this matter and strongly advises them to check whether the