matching orders or arranging for counter parties, or by way of providing a trading facility for or facilitating those having intention to trade in derivatives to be able to agree upon or enter into a
Kitha Properties, arranging nominee to buy the shares of ADAM in the Stock Exchange with a view to gaining the majority of votes to control the business, exercising the shareholder right to add an
investment scheme, securities company shall proceed to examine investor’s qualifications at least as follows: (1) arranging investor to self-declare identity; (2) requesting information and documents
effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system shall not be effected, which
investigations into the case. With regard to investor rights protection, the SEC has rendered full support in coordinating and arranging discussions with the SET, the Association of Investment Management
) received assistance from the persons under (4) ? (7) in jointly arranging for a subsidiary company of TRITN, Splash Media Public Company Limited* (SPM), to enter a five-year rental contract for three
transfer was prearranged, starting from Auracha's opening a trading account for her mother without declaring their relationship to the company and arranging for the transfer even though it was not her duty
the company and arranging for the transfer even though it was not her duty to do so and she was not the investment consultant in charge of such client?s account. Auracha later arranged for AEC back