civil dispute incidental to or resulted from the derivatives business, which the customer of the derivatives business operator may refer to settle by means of arbitration as organized by the SEC Office

following regulations: Clause 1. The civil dispute incidental to or resulted from the derivatives business, which the customer of the derivatives business operator may refer to settle by means of arbitration

offenders aforementioned do not consent to settle the case with the SEC. Therefore, the SEC has submitted the case in writing to the public prosecutor for filing lawsuits in the Civil Court against the three

considered that both offenders do not consent to settle the case at the SEC level.  Therefore, the SEC has submitted the case in writing to the public prosecutor for filing a lawsuit in the Civil Court to seek

delivery upon exercise of conversion rights. The agreement should allow respective counterparties to settle damages claims so as to protect investors? interests and lessen possibility of litigation;4

considered to settle his current case with harsher punishment.

not necessary nor reasonable to grant an extension; and determined that Mr. Suphanan has consistently acted in an obstructive manner and made no effort to solve IFEC problems since the start of the

the Revenue Department to solve related tax issues, creating a level playing field for the industry players of both jurisdictions;              (2) SEC and SFC will conclude a gap analysis on real

participation in this regulatory sandbox is expected to solve issues in  corporate bond market. This includes the issue of time-consuming process for verification of bondholders’ ownership and the lack of

to the resolution of the shareholders? meeting (whitewash) to be in line with the principles of other related regulations as well as to solve practical issues and provide sufficient information for