exchange information about emerging trends and developments in the financial or capital markets and regulatory issues pertaining to new technologies and innovation in the provision of financial
service in many forms which can be accessed via SEC website. The data can be downloaded through SEC API. Open data and the API allow for enhanced data access. In the past, the provision of such
trust auditors with an obligation to prepare and disclose the report on unitholding in REITs and infrastructure trusts in accordance with Section 59 which is the same provision governing the
expansion of the scopes of work of derivatives investor contact type B (limited to gold futures) and selling agents of gold futures brokers to cover provision of services relevant to the said precious metals. # # #
Bangkok, 18 October 2016 ? The SEC is seeking public comments on the proposed rules concerning provision of securities and derivatives trading services with limited discretion according to clients
characteristics of director and executive of a publicly held company. This caused the termination of their directorship and executive position by the provision of the SEA. In any case, the filing of a criminal
must be filed with the DSI. Taking into account the safety of informer, a provision on anonymity of the informer is included in cases where such person prefers non-disclosure of his or her identity
a single offense that violates multiple legal provisions. Pursuant to Section 90 of the Criminal Code, the penalty shall be imposed under the provision prescribing the heaviest punishment, namely, the
and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer