accurate, complete, and up-to-date documentation by DA operators, including the safekeeping of client assets and the transactions of investment management. The proposed amendments would provide the SEC
for Submitting Information or Documentation _________________________ Clause 5 The submission of information or documentation to the SEC Office shall be in compliance with the following rules. In this
, any transaction between each investment policy shall be deemed a transaction with a connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9
connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9 In the case where an intermediary enters into a transaction for a client with the
intermediary shall comply with the provision as prescribed in Chapter 1; (2) in case of oversea representative office, the intermediary shall comply with the provision as prescribed in Chapter 2. The
fund to REIT shall be in accordance with the rules under Part 3. Clause 4 Unless the provision indicates otherwise: (1) the investment in, acquisition or disposal of, and taking advantage of a real
Bangkok, July 20, 2016 ? The SEC is seeking public comments on the proposed rules governing provision of investment services to promote intermediaries? competitiveness in the securities brokerage and
SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in
wishing to apply for approval of an offer for sale of newly issued depositary receipts shall submit an application and other evidentiary documentation to the SEC Office in accordance with the rules