draft, taking into account comments from public hearing on proposed principles early this year, covers prevention on use of inside information, transactions with related persons for the benefit of clients
consideration. The Minister will then recommend to the Cabinet a person considered appropriate to be appointed as SEC Secretary-General. For more information, please contact the Office of the Secretary-General at
procedures as specified in the Notification of the Office of the Securities and Exchange Commission by failing to conduct an assessment of information technology systems’ impact on the business operation of
with the rules, conditions and procedures as specified in the Notification of the Office of the Securities and Exchange Commission by failing to conduct an assessment of information technology systems
futures trading agent. The company contacted and solicited the public as well as disseminated related investment documents and information through various channels including website www.famarkets.com to
information provided in Form 247-4. SEC Act S.300 Settlement Committee Meeting No. 9/2017 Settlement Committee Order No. 78/2017 Dated 18/10/2017
accurate information was in place to ensure the status of qualified customers as high net worth investors. SEC Act S.113 Settlement Committee Meeting No. 2/2025 Settlement Committee Order No. 20/2025
Bitazza could know and verify the true identity of its customers, including acquiring adequate information for customers’ risk assessment. DAB Act S.94 in conjunction with 30 Settlement Committee Meeting
did not disclose information about the advertiser and the relationship or connection between individuals playing a key role in the advertisement and the advertiser. DAB Act S.30 Settlement Committee