Changes in Computer Systems relating to Trading Services with respect to Derivatives __________________ Clause 27 To ensure that the overall business operation of a derivatives exchange is supervised in an

supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision

Settlement Services with respect to Derivatives __________________ Clause 38 To ensure that the overall business operation of derivatives clearing houses is supervised in an orderly, effective, and timely

__________________ Clause 28 To ensure that the overall business operation of securities clearing houses and central securities depositories is supervised in an orderly, effective, and timely manner, securities

authorised and supervised by the home regulator that is a signatory, and established for offering for sale under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's

Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator

make a provision for bad debt amounted to 15.2 mil. baht. Further investigation to determine the actual loss is under way. 2) Exchange loss amounted to 5.3 mil. baht incurred from the foreign currency

(SETLink) by 19 December 2024. Earlier, the SEC filed a criminal complaint against former directors and executives of NUSA with the Department of Special Investigation (DSI)* for colluding to dishonestly

paragraph is added: ‘For the purpose of Article 46(1) of Directive 2006/43/EC, the public oversight, quality assurance, investigation and penalty systems for auditors and audit entities of the following third

has arranged an efficient disclosure system to ensure that the material information on REIT has been disclosed correctly and completely, and REIT manager has supervised the compliance with such