%3Alawandregulations&start=140&rows=10 141 - 150 of 151 results Sort by: Relevance Date (Newest) Date (Oldest) English (United States) NAV Additional rules for long term funds (LTFs) Additional rules for exchange traded
instructions from the clients. They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the actions of {B} and {A} were deemed as obtaining
responsible for the operation of the reporting entity?s orders or action, failure to give instructions or perform their duty, such person may also liable to the penalty under the said Acts.SEC Secretary-General
(United States) DigitalAsset Content Rules and Regulations List of licensed / approval digital asset business operator SEC News relating to digital asset Investor Alert
Laundering Act B.E. 2542 (1999) and the SEC Office’s issuance of the Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
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