offence or liability under the Securities and Exchange Act The characteristics, examples and the limitation period of the civil cases which may be requested for a Class Action in order to deal with the
offence or liability under the Securities and Exchange Act The characteristics, examples and the limitation period of the civil cases which may be requested for a Class Action in order to deal with the
outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 1.1 No limitation of holdings: (1) Tax-exempted institutional investors operating as a
outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 1.1 No limitation of holdings: (1) Tax-exempted institutional investors operating as a
(Effective date of October 1, 2018) Related Forms Application for a permission for a public offering (form 17-1) A letter of certification for personal records of directors, executives, controlling persons
granting a permission to use the property's space to and including providing services relating to a permission to use the property's space. The rent means compensations from performing such activities
and Derivatives Business Operators (No.3) The Notification of the Office of the Securities and Exchange Commission No. SorThor. 2/2561 Re: Permission to Appointment of Agents in Facilitating Services of
considered that auditor already performed duties in compliance with Section 89/25. However, in case auditor has discovered suspicious circumstance but the limitation on scope is imposed by client, as a result
considered that auditor already performed duties in compliance with Section 89/25. However, in case auditor has discovered suspicious circumstance but the limitation on scope is imposed by client, as a result
Information (IOSCO MMoU) The SEC became a signatory to the IOSCO MMoU at the IOSCO Annual Conference in 2008. This milestone reflects the SEC’s continued commitment to removing limitation on enforcement