. In addition, SEC would extend the renewal period for the capital market business personnel to be from 1 September to the last business day of the year, as opposed to the current renewal period from 1
characteristics of personnel in securities business or violates or fails to comply with Clause 11, the Office shall take actions against such person following the rules and procedures prescribed by the Notification
Notification of the Capital Market Supervisory Board governing prohibited characteristics of personnel in securities business or violates or fails to comply with Clause 11, the Office shall take actions against
. The existing approval scheme, on the contrary, requires the issuer to seek approval and file full form of registration statement for every offer which could affect fundraising plan, costs and need of
Jurisdiction shall notify the Home Regulator. 3.5.2 Enforcement against Professionals When a Professional from Home Jurisdiction become a Recognised Representative in Host Jurisdiction, he is required to comply
unlawful gains from Seamico Securities Public Company Limited (ZMICO). On December 29, 1999, the SEC filed a criminal complaint against Nuprapat, an ex-ZMICO director, on the charge of corporate fraud
units with an agreement that the insured shall pay premium to the life insurance company for protection against death or payment upon life and the insured shall pay for the purchase of the mutual fund’s
agreement that the insured shall pay premium to the life insurance company for protection against death or payment upon life and the insured shall pay for the purchase of the mutual fund’s investment units