listed securities to be deposited by a client as collateral for purchasing securities, or a client’s excessive assets held in a margin account in proportion to the purchasing value of any securities prior
impose excessive costs on small and medium-sized businesses and startups. SEC will also continue to develop fund-raising platforms and channels suitable for new generation investors and promote
approval prior to issuance and offer for sale of securities; however, the consideration process must not impose excessive obstacles or costs on the issuing companies. · The SEC requires that
และ fund of funds และนโยบายในการป้องกันผู้ลงทุนซื้อขายหน่วยลงทุนถี่เกินไป (Excessive Trading Policy) 28/03/2554 11. หนังสือเวียน ที่ กลต.น.(ว) 48/2550 การดำเนินการในระหว่างที่ตลาดหลักทรัพย์แห่ง
not overlap duties of the management or the requested information should not be excessive. Q: Prior proposing to the board, shall the company has approval from audit committee in case it applies for a
excessive volatility in the global financial markets. The COVID-19 pandemic presents unprecedented challenges for our community and situation is evolving every day. Central Retail Corporation Public Company
profit margin during 9 months period resulted from the one-time excessive charge in the first 9 months of 2019 while there was no such income in the first 9 months of 2018, as well as the lower cost of
the amount determined by the Derivatives Exchange and are unable to offset such excessive position as informed by their derivatives agents will be exposed to the similar foregoing risk. 3.4 Risk
continuity of the SEC’s operations and to avoid an excessive burden on market participants, the SEC will periodically review the fee structure and other sources of income, as appropriate; Establish and