debt instruments or investment unit, or securities financing business under the Securities and Exchange Act ; (3) a juristic person established under foreign law, which is a derivatives business operator
instruments or investment unit, or securities financing business under the Securities and Exchange Act; (3) a juristic person established under foreign law, which is a derivatives business operator in the
, supervisory guidelines for bills of exchange and extension of regulation on net liquid capital rule on business operators of brokerage, dealing and underwriting of investment units (LBDU) as follows: 1. Bill
diverse nature of the PF business, and maintain standards and quality of the business for the best interest of clients. The SEC conducted an initial hearing on the principles for amending the PF rules in
securities business, including securities dealing, securities underwriting, proprietary investment and securities custody, have paid-up registered capital at the following different amounts
investment decision making. The program approval suits the issuer making several offers for sale of debt securities in the proximate period and allows the issuer to make such offer when having financial need
number of salespersons sufficient for providing services to investors, the new rule will pave the way for experienced staff to seek sales licenses provided that they meet certain conditions to maintain the
voting rights, as the transaction is considered connected transaction and a significant asset acquisition. The Audit Committee advised that WAVE should not increase their investment in TSE until the first
Exchange Commission No. Kor Thor. 4/2561 Re: Maintenance of Capital of Investment Advisors and Derivatives Advisors ________________________ By virtue of Section 14 of the Securities and Exchange Act B.E