securities trading orders is in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of
is responsible for the operations of BBL, shall be liable for BBL’s failure to comply with the rules, conditions and procedures as specified in the notification by failing to put in place a sufficient
the operations of BBL, shall be liable for BBL’s failure to comply with the rules, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system
offer for sale of debt securities, if the offeror has disclosed material facts which are not stated in the registration statement and draft prospectus to any specific person for the purpose of analyzing
Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. In this regard, the SEC revealed her inappropriate behavior and recorded such demerits for
Offer for Sale of All Types of Debt Securities, and in cases where the sukuk issuer is a juristic person separate from the originator, the term “debt securities issuer” under such Notification shall
law. 2. To enhance efficiency of official receivers in collecting a debtor’s assets in a bankruptcy case, a provision has been added to this law. The new provision allows (a) any person who owes a
responsible person who has duty to undertake and be liable for arranging and keeping information, document or evidentiary documentation in accordance with the rules as prescribed in sub clause (1) and (2); (4
Market Supervisory Board concerning Outsourcing Some Operations in Securities or Derivatives Business to Others. 8 govern them to be approved person according to such requirement and control them to