details on the evidence list. Besides, the Law requires only the procedure for taking evidence by the plaintiff and the defendant, i.e., the sequence of examination, cross-examination and re-examination. In
company shall establish a system for redemption of investment units, and a system for examination of purchase or redemption of investment units. (2) Transfer of investment in investment units, as well as
details on the evidence list. Besides, the Law requires only the procedure for taking evidence by the plaintiff and the defendant, i.e., the sequence of examination, cross-examination and re-examination. In
company shall establish a system for redemption of investment units, and a system for examination of purchase or redemption of investment units. (2) Transfer of investment in investment units, as well as
order to assess suitability before investing in or entering into a transaction of such capital market product. In this regard, such examination shall be in accordance with the suitability test as
into a transaction of such capital market product. In this regard, such examination shall be in accordance with the suitability test as determined by the SEC Office. The first paragraph shall not be
Preserve Market Fairness and Transparency, Understand Industry, and be a Firm and Fair Regulator [ MESSAGE FROM THE CHAIRMAN ] (Mr. Somk id Ja tus r ip i t ak ) Cha i rman [ Message from the Chairman ]4
authorities of each level of employees related to the register of securities; (b) management and storage of the register of securities and related securities certificates; (c) examination of the internal system
significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases
, 2011 SEC OPEN MEETING: DODD-FRANK ACT AMENDMENTS TO THE INVESTMENT ADVISERS ACT Allocation of Responsibilities Between the SEC and the States In acknowledging the Commission's limited examination