requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
Microsoft Word - fully covered.doc การลงทุนใน derivative หรือ warrant ท่ีกําหนดให ตองทําการ fully cover ไว ซ่ึงประเภทหลักทรัพยและทรัพยสินท่ีกองทุนสามารถใช cover ได ประกอบดวย 1. เงินสด 2. เงิน
same asset management company to give investors an overall background for decision making. In other words, the disclosure should not only cover the list of funds that have successfully hit the trigger
digital asset business operators, i.e., exchanges, brokers and dealers, and cover the licensing process, from change to the fee payment time frame to extension to the time frame of readiness preparation for
” means derivatives under law on derivatives and any other similar contracts; (4) “foreign derivatives exchange” means juristic person established under foreign law which is capable of providing derivatives
operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory law ; (2
business operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory
investment decision of the public, appraisal requires a knowledgeable, capable and responsible person to perform. The SEC have stipulated the undertaking of the asset appraisal by an appraisal company whose
____________________________________________________________________ Remark: The rationale for issuing this Notification is to determine an undertaking not deemed as a derivatives dealer to cover offer to trade or trade in derivatives for his own account with person
equity, (2) the additional capital to ensure business continuity, and (3) the additional capital to cover potential liability risks due to professional negligence. Actions in case of failure to meet the