show its capability to operate as a derivatives exchange as prescribed under Section 57 and in accordance with the Notification of the Securities and Exchange Commission, the Notification of the Capital
products to meet investors’ long-term investment goals; (3) Supporting SME Growth and Financing: To lay out a direction for developing small-and medium-sized enterprises (SMEs) capability
the SEC Office; (3) document demonstrating the opinion of the applicant relating to the capability of the income guarantor under sub clause (2) to comply with the agreement thereof. In this regard, in
time; (2) scope of responsibility in the position of such person in accordance with the laws or as assigned by the board of directors and; (3) qualification, knowledge, capability, and experience
Capital Market 2010 2 4 7 8 10 12 13 19 25 30 33 Key Achievements Regulatory Improvement and Enforcement Market Efficiency Development Financial Literacy Promotion Corporate Capability and Effectiveness
grant of approval for the establishment and management of the mutual fund under paragraph one hereof, the Office, upon the approval from the SEC, shall have the authority to set out rules, conditions and
authority to set out rules, conditions and procedures for approval corresponding to each type of investment units and group of investors. Clause 4. Upon the expiry date of the offering period of investment
grant of approval for the establishment and management of the mutual fund under paragraph one hereof, the Office, upon the approval from the SEC, shall have the authority to set out rules, conditions and
as follows; (1) Fast Track: auditors who a) are under supervision by an audit oversight authority that has same auditor oversight standard as that of the SEC, and b) have experience in auditing and
as follows; (1) Fast Track: auditors who a) are under supervision by an audit oversight authority that has same auditor oversight standard as that of the SEC, and b) have experience in auditing and