clear, it has been supplemented by a range of regulations and guidelines, many of which are still considered relevant or in force from several years before, even when more recent statements may cover the
attached to the said Form. The fact sheet in the prospectus under the first paragraph shall be printed with a font that is clear, legible and no longer than three pages of A4 paper, except for a complex
, especially the widely used appraisal. Clause 4 In order to obtain an approval to be an appraisal company in capital market and a lead appraiser, any appraisal company having such wish shall submit an
securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of
) having a clear exit strategy in case of leaving the regulatory sandbox upon or before expiration. (5) specifying a limited scope of services to alleviate material impacts or damage on investors or the
to trading, the Client should obtain from his/her derivatives agent clear explanation of all fees and other charges for which it will be liable relating to trading, settlement or exercise of options
the 2014 inspections showed that the incompleteness of the related-parties disclosures remains an issue because some firms have yet to set out clear definition of related parties. Not only does this
as well as arrange to obtain approval from its shareholders’ meeting on the entering into the connected transaction with votes of not less than three-quarters of the total votes of the 6 shareholders
duty to disclose the information memorandum regarding such transaction to the SET and appoint an independent financial advisor to provide opinions on the transaction as well as arrange to obtain approval
management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the