exchange service under law of such jurisdiction and is under supervision of authority or agency having duty to supervise derivatives; (5) “foreign derivatives business operator” means juristic person
Companies and related Cooperation, which is published on the website of the SEC Office. Chapter 1 Authority of the SEC Office _________________ Clause 3 The provisions related to the authority of the SEC
supervision under the authority of multiple agencies as seen in the following areas: Securities trading The Ministry of Finance had the power to regulate securities trading on the Stock Exchange of
of regulations Related Regulations Summary of regulations 1. Authority of the SEC 2. Fund managers 3. Mutual fund performance measurement 4 . Preparation of financial reports of mutual fund 5
of regulations Related Regulations Summary of regulations 1. Authority of the SEC 2. Fund managers 3. Mutual fund performance measurement 4 . Preparation of financial reports of mutual fund 5
system of quality management (SOQM)? If yes, Does the firm leadership provide the designated partner with the required authority and resources and take responsibility for the adequacy of firm’s response
the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, does the responsible person have sufficient and appropriate experience, authority, and time
Authority of Singapore (MAS) ได้เล่าถึงมุมมองของ MAS ที่สนับสนุนการใช้ประโยชน์จากเทคโนโลยีบล็อกเชนที่ช่วยเพิ่มประสิทธิภาพกระบวนการทำงาน ความเชื่อมโยง และความโปร่งใส ทำให้เกิดการพัฒนารูปแบบและการใช้งานที่ช่วย
, the Ministry of Digital Economy and Society, in issuing public warning releases; (3) Filing criminal complaints with the authority regarding investment scams specifically in the cases of
Securities Public Co., Ltd. (currently renamed as Beyond Securities Public Company Limited) with the authority to place orders in the trading accounts of private fund clients, executed trading orders of FVC