deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has
responsible for the management of foreign collective investment scheme; “home regulator” means a regulator that has the authority to supervise foreign collective investment scheme or a CIS operator; “brokerage
The derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law
derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law including the code
foreign collective investment scheme. “home regulator” means a supervisory agency of an ASEAN country which has the authority to supervise a foreign collective investment schemes or CIS operator. “brokerage
Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short-term investment shall not be made
Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short- term investment shall not be made