securities issuing company or listed company under the SEA.In addition, the SEC is examining other issues of public and stakeholders? complaints regarding whether the duty performance of current and former
tackle two key research questions: (1) examining how share price responds to issuance of debentures by using the event study method; and (2) explaining the said response with applicable financial theory by
agreements of which all transaction of franchise is in the investigating process. 5 Revenue from franchise In consolidated financial statements, revenue from franchise arises from the revenue recognition of
the Office 17. Circular 13/2544 22/02/2001 Report/Form (Notification of Securities and Exchange Commission) Request Form for Examining Information of Persons who the Securities Company will
loans provided by clients, as well as, failing to discharge the duty properly as a manager in supervising and examining the staff's conduct to ensure the compliance with laws and regulations, in violation
or home regulator, as the case may be. Clause 7. Prior to selling units of foreign collective investment scheme, securities company shall at least undertake the following steps: (1) examining
provide a system for recording, examining and reviewing the clients’ information so as to ensure that such information is correct complete and current throughout the period of derivatives trading. Clause 10
provide a system for recording, examining and reviewing the clients’ information so as to ensure that such information is correct complete and current throughout the period of derivatives trading. 1 Amended