supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
efficient complaint handling system for the settlement of dispute, such as act in compliance with the notification of the Securities and Exchange Commission governing determination for securities company
securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an efficient complaint handling system for the settlement of dispute, such as act in
/11/2001 01/01/2002 Report/Form (Notification of Securities and Exchange Commission) Form OrYo.1 Petition for the Dispute Report/Form (Notification of Securities and Exchange Commission) Form OrYo.2
inconsistency in business management and reduce the chance of a labor dispute from the unfair termination of his employment. On 28 December 2023, NCL paid for the compensation without disclosing relevant
will also be required for the purpose of general administration and cooperation; for instance, publishing unit pricing, distributing reports to unitholders, and managing dispute resolution. ?The SEC in
__________________ Clause 28 To ensure that the overall business operation of securities clearing houses and central securities depositories is supervised in an orderly, effective, and timely manner, securities
1 3Q20 MD&A Advanced Info Service Plc. Executive Summary Continued economic impact on mobile business despite improved pandemic situation in Thailand With well-managed pandemic situation, domestic