to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for promoting and
the services provided by the SEC Office in which you may be interested so as to effectively perform its duties and supervision. In this regard, the SEC Office will request your prior consent to receive
Forum 2018 หัวข้อ Maintaining Trust ณ ประเทศออสเตรเลีย, APEC Financial Regulators Training Initiative หัวข้อ Risk-based Supervision ณ ประเทศเวียดนาม, The 12th Regional Leadership Programme for Securities
from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for promoting and supervising the
: Declaration I/We certify the following: 1. I/We am/are under supervision of the Securities and Futures Commission of Hong Kong which has the authority to impose sanctions or to order the Hong Kong Covered
เกี่ยวกับการรับและกำกับหลักทรัพย์ (Listing and Ongoing Supervision) การปฏิบัติการซื้อขาย (Trading Operation) การกำกับสมาชิก การติดตามดูแลสภาพการซื้อขายหลักทรัพย์ (Surveillance) และการจัดการระบบเทคโนโลยี
further appropriate actions to establish consistency in the overall supervision of auditors and audit firms. In the quality control system inspection in 2020, the second year of the 4th inspection cycle
control system in respect of giving advice, and investment supervision and control system of the investment advisory company, persons with power of management and advisors; (2)5 providing a compliance
) Provide an effective operating system to support the operation in accordance with the standard of the Association concerning with the supervision in securities trade of management company’s staff; (2