. 2535 (1992) (SEC Act). Pursuant to the SEC Act, the SEC is empowered to supervise and develop the primary and secondary markets of the country’s capital market system as well as securities-related
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
in writing and shall allocate sufficient personnel and resources for operating the work of branch office as well as arrange to have management and operational system to efficiently supervise and
market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from
exemption from the definition as DA Custodial Wallet Provider would be given to DA issuers who provide custody of self-issued DA for their clients, in line with the intent to supervise DA custodial wallet
great emphasis on effective revenue generation from new malls, asset enhancement, coupled with efficient operating costs management. Currently, CPN manages 30 shopping malls with the net leasable area
have the duty to supervise and advise the Board of Directors. Size of Transaction : The calculation of transaction size based on the total value of consideration paid is equal to 0.18% of the total
applicant shall be deemed engagement performance and responsibilities of the audit firm; 7. I will supervise engagement performance of the applicant to ensure that he or she comply with the professional
engagement performance and responsibilities of the audit firm; 7. I will supervise engagement performance of the applicant to ensure that he or she comply with the professional standards, ethics, and rules of
supervise financial business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign