|- Anti-fraud Provisions (section 98(3)) |- Forward Transactions/OTC Equity Derivatives Transactions (section 98(4)) |- Securities Borrowing and Lending (section 98(5)) |- Short Sale Provisions (section 98
Today, development of technology is rapid and continuous. It disrupts development of services in the capital market. However, SEC views that many provisions in the Securities and Exchange Act B.E
complicated, and for the most part the existing laws do not cover all new ways of committing an offense in the capital market. Legal provisions applied to some cases are unclear and open to interpretation
Notification of the Securities and Exchange Commission concerning Exemption from the Provisions on Public Offering for Unit Offering of Foreign Collective Investment Schemes ; “ intermediary ” means: (1) a
Securities and Exchange Commission concerning Exemption from the Provisions on Public Offering for Unit Offering of Foreign Collective Investment Schemes; “intermediary” means: (1) a securities company
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
acts under the provisions of this Act or other laws. In exercising the power and duty of the Office under the first paragraph, the Office shall have the power to: (1) own, possess, hold any proprietary
compensation at a rate of not less than that of the last 400 days. This change is considered a post-employment benefits plan amendment and the Company and its subsidiary has additional liabilities for provisions
offered at the market price during the offering period. The revised provisions cover the key areas, as follows: 1) Approval: to screen the applicant?s corporate governance records whether or not