failure to perform duties with responsibility and due care as the capital market professional were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital

without any objection. Meanwhile, in the latter period, he sought approval from the clients on the broad pre-determined price ranges of derivatives and securities. Accordingly, he could immediately execute

: Clause 1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting

1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting

practical guidelines without imposing obstacles for business operators, the SEC has now issued four notifications of regulations concerning the collection, disposal and allocation of REIT assets, with the

the development of digital financial innovations. Most respondents agreed with the draft amendments. The SEC has therefore issued notifications* specifying the amendments with the key points as

fund supervisors No. Nor Jor. ( Wor) 6/2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border offering of funds between Hong Kong Special Administrative Region of the

brokerage, securities dealing or undertaking of investment units All mutual fund supervisors No. Nor Jor.(Wor) 6/2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border

fund supervisors No. Nor Jor. ( Wor) 6/ 2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border offering of funds between Hong Kong Special Administrative Region of the

Decree on Special Purpose Juristic Persons for Securitization The Trust for Transactions in Capital Market Act Ministerial Regulations / Notifications Ministerial Regulations - SEC Act Ministerial