shall have the power to instruct the derivatives broker to rectify, undertake, or refrain from undertaking any act to comply with this notification, or shall have the power to revoke the approval of such
branch office continues, the Office shall have the power to instruct the derivatives broker to rectify, undertake, or refrain from undertaking any act to comply with this notification, or shall have the
. In requiring the offeror to proceed in accordance with Paragraph 1, the SEC Office may also instruct the offeror to disclose the order, the implementation, the remarks of the SEC Office or the
documents, as well as the securities clearing house or central securities depository’s opinion. Clause 39 When facts and circumstances have changed, the Capital Market Supervisory Board may instruct the
reporting process toward a higher quality. In the preceding years, the SEC mobilized various initiatives to support the preparers in building self- discipline and the understanding of appropriate and
action with respect to its operation as a derivatives clearing house, the SEC Office may instruct the derivatives clearing house to comply with said notifications and rules or take any action as it deems
Kong Securities & Futures Commission for mutual recognition of managed fund products. We also undertook a self-assessment for compliance with IOSCO Principles to pave the way for Thailand’s Financial
the association with the approval of the SEC Office. If it is necessary and expedient, the SEC Office shall have the power to instruct a management company to act additionally or differently from the
prescribed by the association with the approval of the SEC Office. 4If it is necessary and expedient, the SEC Office shall have the power to instruct a management company to act additionally or differently