broker shall have examination system to ensure that the person order derivatives broker to proceed with the customer property is the actual owner of the account or is the person who is authorized in
category of mutual fund or private fund management, or derivatives investment management company; “ fund ” means mutual fund and private fund; “ investor ” means any person interested in investing in capital
, securities companies or other persons by virtue of own position or committing a fraud in an examination. Division 2 Effects of Possessing of Prohibited Characteristics Clause 32 In case a person possessing the
examination on suspicious facts. Overall, the number of complaints against unlicensed securities or derivatives businesses is on a gradual decline, and 75 percent of the cases is beyond the SEC?s authority, for
fund or private fund management, or derivatives investment management company. “fund” means mutual fund and private fund. “investor” means any person interested in investing in capital market products
fair value of the mining property rights over the two Indonesian mines. Moreover, no information was available with regard to the examination of the legal ownership of those mining property rights and
deadline of the special audit report to allow more time to complete the examination and review of all related numerous documents and information.The SEC granted a 30-day extension ending 8 March 2017. KC
public monitoring, examination, and evaluation of my work as the SEC Secretary-General. All feedbacks and suggestions are welcomed as part of our mutual efforts going forward,” she added
report and the amended financial statements was 6 February 2017. KC requested an extension to the deadline of the special audit report to allow more time to complete the examination and review of all
China. The examination reveals that the deposit was not paid to any company in China, but was withdrawn or transferred from Winsound (Thailand)’s bank account to Mr. Amorn and others. The acts of Mr