director of the derivatives exchange shall be vacated from his office upon: (1) possession of any prohibited characteristics under Section 61; (2) removal by the SEC due to gross incompetent in the
Provincial Waterworks Authority Attention: Directors and Managers The Stock Exchange of Thailand CC: Secretary-General of the Office of the Securities and Exchange Commission, Thailand Attachment: Map of the
relations. The SFC is the principal regulator of the securities and futures market in Hong Kong and the primary authority for regulating retail funds offered to the public in Hong Kong. The role of the SFC is
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
, issuance and settlement of securities, and organization of shareholders? meetings, etc., (2) facilitating businesses? access to necessary information under possession of governmental agencies for the benefit
Authority, United Arab Emirates.
, addressing major offenses within the SEC's authority. The event was held at Mövenpick Siam Na Jomtien Pattaya Hotel from 13-15 November 2023.
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
benefits from the securities in possession. In any case, securities companies would need to establish efficient control and risk management system.SEC is therefore conducting a public hearing on the