profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
the service under the provisions being applicable to mutual fund management company, but FWD Life Insurance Public Company Limited failed to comply with the provisions being applicable to mutual fund
|- Anti-fraud Provisions (section 98(3)) |- Forward Transactions/OTC Equity Derivatives Transactions (section 98(4)) |- Securities Borrowing and Lending (section 98(5)) |- Short Sale Provisions (section 98
The provisions proposed to be added are as follows: (1) Provision that will require the association to operate its affairs in accordance with the rules prescribed by SEC Board. If
that facilitates market innovation, and enable market practitioners? self-regulatory functions. The proposed amendments will revoke all provisions on associations related to securities business currently
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
services without provisions in Zipmex's rules, conditions and procedures for trading digital assets (trading rules) approved by the SEC. Also, the suspension did not comply with the standards as a
the following regulations: Clause 1 The provisions under (2)(b) of Clause 12 of the Notification of the Capital Market Supervisory Board No. Tor Jor. 39/2559 Re: Application for Approval and Granting of