. SECTION 89/8 In performing duty with responsibility and due care, a director and an executive shall act in the similar manner as an ordinary person undertaking the like business under the similar
. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the general public as being ready to engage as an agent in the business of trading in derivatives
. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the general public as being ready to engage as an agent in the business of trading in derivatives
has authorized the management of investment to acquire benefit from securities, whether or not investment in other assets is also made, which management is conducted as an ordinary course of business
is conducted as an ordinary course of business, in consideration of a fee or other remuneration, excluding the management of investment as specified in the notification of the SEC. 3 indicated
prescribe required paid-up capital of a securities company as the SEC thinks fit. (There is no minimum amount of required capital specified in the provision.) 1.4 Conduct rules of securities business
ลักษณะต้องห้ำม (fit and proper) โดยกำรถือหุ้นดังกล่ำวจะพิจำรณำนับรวมกำรถือหุ้นของบุคคลทีเกียวข้องด้วย ๖ Regulation (EU) No 910/2014 Chapter I General Provisions Article 1 Subject matter (C) establishes a
allow extension thereof as seen fit. Section 27.2 The registrar shall, with the approval of the Minister, have the power to order a dissolution of the fund in any of the following events: (1) the
days, and shall complete the liquidation within one hundred and fifty days from the date of dissolution, except in case of necessity where the registrar may allow extension thereof as seen fit. Section
management is conducted as an ordinary course of business, in consideration of a fee or other remuneration, excluding the management of investment as specified in the notification of the SEC. SECTION 4. The