supporting agent pursuant to the law governing agricultural futures trading shall submit their application for approval to the Office of the Securities and Exchange Commission together with supporting
(CMSB) has the power and duty under the Securities and Exchange Act that include issuance of rules and regulations governing the securities industry and reporting to the SEC Board. The CMSB comprises
%20Investor%20Responsibilities_2013.pdf matter of a few years but whole generations. Such generational differences create real challenges for the governing bodies charged with acting in the interests of all
qualifications and does not have prohibited characteristics pursuant to the law governing derivatives and notifications issued by virtue of the said law. The letter of certification shall be signed by the person
Industry and Be a Firm and Fair Regulator ● Proposed Changes of the Structure of the SEC ● Procedures for Issuing Rules and Regulations Governing the Capital Market ● Roles of the SEC as Law Enforcement
the Securities and Exchange Act B.E. 2535 (1992); (7) a company issuing listed securities; (8) a company whose securities are traded in securities trading center; (9) a trust under the law governing
Supervisor ______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification
______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification therein being that such