derivatives fund managers being a financial institution regulated by other agencies; “electronic data” means data that are created, sent , received, stored or processed through electronic procedures
derivatives fund managers being a financial institution regulated by other agencies; “electronic data” means data that are created, sent , received, stored or processed through electronic procedures
Board requires more votes than the majority votes. 3. Supervision of the Securities Exchange 5/10 • Enhancing supervision of the SEC on the securities exchange (the Stock Exchange of Thailand: “the SET
Sale of Newly Issued Shares dated 30 September 2016, the registration statement and draft prospectus shall be filed with the SEC Office in one set of printed documentation which shall also be submitted
Party transaction. SeA: securities and exchange Act 1992 SeC: securities and exchange commission of thailand SePO: state enterprise Policy office SeT: stock exchange of thailand. SfiS: specialized
where a mutual fund supervisor no longer meets the qualifications set forth in the notification of the Office of the Securities and Exchange Commission regarding qualifications of mutual fund supervisors4
securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of
broker investing in securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of
acceptable to the Office. Clause 2. The derivatives broker investing in securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk
: Beyond Banking; Embedded Trust; and, Everyone, Every day, Every way and Everywhere. To this end, we have set our sights on providing all customers with services beyond their expectations to become their