whose approval to undertake trust business revoked by the SEC, the former trustee shall perform its duties only to protect the benefits or exercise the right over the trust property to prevent the trust
assets have been in custody of the intermediary , the administrative system shall be provided adequately in order to protect the client ’s assets and comply with the specific Notifications stipulating
program and offering of new shares to the public by the private sector. Mechanism for investors to protect themselves were also much enhanced with the introduction of the dispute settlement through
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets
SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets, without or not complying
SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets, without or not complying
areas to enhance investor protection; for example, running public information campaigns to raise awareness about class-action litigation as a way to protect investors’ rights, improving the investor
that are inconsistent with international standards or insufficient to protect investors' interest efficiently."The new Securities Law covers six areas as follows:(1) Enhancing flexibility of
/ActandRoyalEnactment/Act/act-sea2008-no4.pdf DRAFT order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the Capital Market Supervisory Board shall have
taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the