Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
Rules on Application for Obtaining Approval and Granting to Perform Trust Business
associated with the delay of the Project has been disclosed to the shareholders prior to obtaining the approval of the renovation Project. As a result, the construction delays further impacted the available
: Clause 1 In this Notification: “ derivatives business operator ” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not
this Notification: “derivatives business operator” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not including
Paragraph 1 shall be completed within twenty- one days from the date of obtaining the approval from the general shareholders’ meeting, but no later than four months from the end date of the fiscal year
Mr. Matthew Christensen Matthew Christensen operated derivatives business without obtaining license or registration from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and