operators.The draft revision aims to accommodate supervision of agricultural futures business operators and comply with the changing financial reporting standards. It also amends certain disclosure requirements
with the capital market. Aiming to enhance supervision of property valuation profession to be in line with international standards and more suitable for current market environments, the proposed
. These engagements brought together senior executives of regulatory authorities and leaders from the private sector to engage in discussions and exchange experiences on capital market supervision and
the Investment Management Supervision Department, participated as guest speakers, delivering lectures on the role of fund managers, developments in the fund management industry, and the SEC’s
;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
Notification: (1) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
Notification: (1) “representative” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
securities brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “ agent ” means a person who is appointed by a securities
brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “agent” means a person who is appointed by a securities company as its