means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator
operations. Directors, executives, and employees, as well as related parties of the agencies under supervision, whereby the SEC Office has supervised and inspected the risks related to their business
has arranged an efficient disclosure system to ensure that the material information on REIT has been disclosed correctly and completely, and REIT manager has supervised the compliance with such
obligation between unitholders and the mutual fund management company has been contradictory to the Law on Securities and Exchange as well as the Notifications, Regulations or Orders issued by virtue of such
obligation between unitholders and the mutual fund management company has been contradictory to the Law on Securities and Exchange as well as the Notifications, Regulations or Orders issued by virtue of such
obligation between unitholders and the mutual fund management company has been contradictory to the Law on Securities and Exchange as well as the Notifications, Regulations or Orders issued by virtue of such
Changes in Computer Systems relating to Trading Services with respect to Derivatives __________________ Clause 27 To ensure that the overall business operation of a derivatives exchange is supervised in an
efficient disclosure system to ensure that the material information of the Company and the subsidiaries is disclosed accurately and completely, and has supervised compliance with such disclosure system; (3
subsidiaries is disclosed accurately and completely, and has supervised compliance with such disclosure system; (3) The Company has provided an efficient internal control system, supervised compliance with the