-level is inadequate and insufficient. An absence of description and example on what is expected to be monitored also causes the assigned person the inability to monitor the significant matters thoroughly
investors? awareness in helping monitor our capital market and facilitate legal actions against any persons taking advantages of others. Key criteria of the regulations include methods for giving information
this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of gold derivatives” means any person
this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of gold derivatives” means any person
the following regulations: Clause 1 In this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of
the SEC’s examination, is considered an offense of making false entries or omitting material statements in the accounts or documents of, or related to, a juristic person. This constitutes a violation
. Summary of regulations 1. Limitations on unitholding over one-third of the total outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 2. Rules
. Summary of regulations 1. Limitations on unitholding over one-third of the total outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 2. Rules
recommending the case to the public attorney who has authority for prosecution. The power to adjudicate whether any person is guilty or not is, however, vested on the court of justice. In this regard, the SEC
profile or qualifications of each director as well as the reason that board of directors appointed both of them to serve as audit committee to provide investors and involved person with information for