SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to increase flexibility and effectiveness in business operations by delegating other persons, who are prepared to operate the business under the principle of principal-agent relationship. SEC has held three public hearings from the third quarter of 2017 to the second quarter of 2018 and has included...
the standards established by an international organization concerning capital market supervision, each securities clearing house and central securities depository shall follow principles in the
exchange and clearing house, and the licensing requirements which are in the process of approval ● Prescribed licensing rules for derivatives brokers, dealers, and fund managers ● Prescribed rules for the
/Documents/Assessment/49801431.pdf 7025se.pdf the deposit and demonstrate that such deposit by the securities clearing house is for the purpose of complying with Section 223/3. (3) In the case of other asset
operation and engagement in new activities/ services Clearing house, derivatives clearing house, securities depository center and securities registrar ë Grant license, approve regulations, examine business
practical knowledge and skills in the area of securities law enforcement; ë Risk-Based Approach Supervision Seminar - an in-house training for the SEC staff with guest speakers from the UK Financial Services
received from numerous participants to the Regional Corporate Governance Roundtables in Latin America, Asia and the Middle East and North Africa. An expert consultation and an open on-line public
Annual Report 2003 A N N U A L R E P O R T 2 0 0 3 S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N & O F F IC E O F T H E S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N , T H A IL A N D SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2003 SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND 10th and 13th-16th Fl. Diethelm Towers B, 93/1 Wireless Road, Lump...
advises digital asset business operators on account opening for minors Having noticed that some digital asset business operators open trading accounts for minors, on 8 January 2022 the SEC disseminated the