rules for the trading, clearing and settlement of securities must be approved by the SEC Board. In the case where there are adverse effects to the public or the economy, the SEC Board has the powers to
rules for the trading, clearing and settlement of securities must be approved by the SEC Board. In the case where there are adverse effects to the public or the economy, the SEC Board has the powers to
) fails to fulfill its obligations as to clearing and settlements, all operations must be ceased while risks associated with proprietary trading must be reduced, and client positions are to be transferred
approval for EJIP must be submitted to the SEC because the offer for the sale of shares to executives must be reported pursuant to section 59 of the Securities and Exchange Act which may be burdensome and
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
(PO) Approval Qualifications and approval rules - Applicable to the offering of bills and bonds. - For the offering of bonds, the approval will be granted upon the registration of the transfer
Reporting and Audit Oversight > Supporting Accounting Profession to be in line with International Standards Regulations SHARE : Detail Content Financial reporting and audit oversight 1. Supporting
specified period. The associations shall prepare a balance sheet once in every twelve-month period, and an annual report on results of the operation to be presented to the general meeting of the associations
- Applicable to the offering of bills and bonds. - For the offering of bonds, the approval will be granted upon the registration of the transfer restriction, features of bonds, draft terms and conditions and a
less than 2 days. Allocation of the investment units to the investors shall be appropriate and fair. The offering for sale of the investment units to retail investors is subject to additional rules as