information via generally accessible channels of business operators or preparation and storage of information in a manner ready for retrieval upon the SEC’s request, and (3) cancellation of reports that are no
the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The use of a client’s assets, fiat money and
per their request. Huobi requested extensions of deadline many times and the SEC Board granted the final extension until 31 August 2021. However, Huobi still failed to complete the rectification of its
of the Sandbox period, the participants may request an extension for their service testing period. The Sandbox project is now open for applications, starting from 9 August 2024. For more details
Draft prospectus shall be provided with the following statement on the first page. 5 “The general public is able to request to review or obtain a copy of a registration statement and the draft prospectus
offer for all securities of the business shall clearly specify the following information: (1) The name of the applicant intending to request for the resolution of the shareholders’ meeting for the
Agreement as at June 30, 2017 227.44 The Company has taken the following legal actions. On October 17, 2016, the Legal Department sent out a letter of payment request to MAT and the representative of MAT
a Thai Feeder Fund investing in a Hong Kong MRF-eligible master fund: - Before filing an application with the SEC, the Thai AMC shall request the management company of the Hong Kong MRF-eligible
course and evidence of attendance of the Contacts to be presented to the Office following completion of the training or seminar or upon the Office’s request. In this regard, the Office may request the