behavior indicating unfair practices or taking advantage of the investors in securities or derivatives trading or aids or abets or used to aid or abet the others in connection with such behavior. Part 3
violation of law or acting unfairly or taking advantage of others. (3) having been sentenced to imprisonment by the court’s final judgment and it has not yet surpassed the three-year interval time after
taking advantage of others; (3) I was sentenced to imprisonment by the court’s final judgment for the commission of any of the following public offences, regardless of whether the imprisonment was
supervise and ensure fair treatment for retail and SME customers will pose a heightened challenge to banking performance. To cope with these issues, commercial banks may have to fine-tune their strategies
5 Section 11. The fund shall have a fund committee which consists of representatives elected by the employees and those appointed by the employer. The fund committee shall have the duty to supervise
11. The fund shall have a fund committee which consists of representatives elected by the employees and those appointed by the employer. The fund committee shall have the duty to supervise the overall
The derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law
derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law including the code
derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law including the code
foreign collective investment scheme. “home regulator” means a supervisory agency of an ASEAN country which has the authority to supervise a foreign collective investment schemes or CIS operator. “brokerage