for liquidity support while financial institutions giving assistance to such mutual funds are allowed to use high-quality domestic instruments as collateral for the same purpose.Concurrently, SEC has
. 3/2565 passed a resolution approving the proposed amendment whereby directors and executives will be allowed to hold the position at a limited number of companies. For example, Chief Executive Officer
statements. Thus, there was no plan or time allocation to audit the 2012 rectified financial statements for submission to the SEC by June 26, 2014. The SEC therefore allowed STHAI to submit the rectified
client that, from the effective date to the closing of tender offer, the client was not allowed to purchase EIC securities by any means other than those specified in the tender offer. {A}'s conduct was
knowledge and understanding of cryptocurrency. In case of unqualified investors, investment through a licensed digital asset fund manager would be allowed, and (2) Digital asset business operators would be
are not the SET members will be allowed to send trading orders through the SET ?s trading system in cases where such system is linked with others, such as that of foreign exchanges. Also included in
will be allowed to manage REITs? non-real estate assets, providing that there must be a separation of management and compliance units while Chinese wall must also be in place. Outsourcing of the
time with high trading volumes. {A} admitted that the client allowed her to make trading decision under the pre-determined value. After trading, she notified her client via recording telephone.The client
decisions on the client's behalf for a period of time. {A} admitted that the client allowed her to make trading decision to adjust the transferred securities from another securities company and she kept
respondents, SEC has allowed more types of businesses within the four business groups to participate in a regulatory sandbox, as follows: (1) Intermediaries, i.e., securities investment advisory service