complaints arising from the performance of duties of its employees. Clause 4. Unless otherwise specified, the Office shall have power to issue the Notification prescribing detailed rules relating to the
Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and
issue Notifications prescribing detailed rules with respect to the matters specified in this Notification to ensure practical implementation and to enable the SEC Office to inspect such implementation
risk on securities companies due to incompliance with and negligence of the legislations. As a result of the above-mentioned risks, the SEC deems it is necessary to issue a more specific and detailed
_____________________________________________________________________ 5. I/We affirm that the Hong Kong Covered Fund, as detailed in Part A of this application form, and the Hong Kong Covered Management Company, as detailed in Part B, is completely in compliance with
trading by minimum disclosure of the following information: (1) information relating to the financial status, credibility and scope of the derivatives dealer ’s business; (2) detailed information pertaining
the purpose of compliance with this Notification, the SEC Office is empowered as follows: (1) issuing detailed Notifications under the scope of this Notification in order that any intermediary would
promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting
provident fund for all transaction including the detailed calculation of the money payable to the fund, unit allocation and value per unit should be made upon request of each member for examination of the