a listed company; (3) being considered under an accusation or criminal proceedings by an agency with legal authority for an offense related to unfair activities against derivatives or securities
shall be deemed as an integral part of the commitment; (3) authority, duties and responsibilities of the management company; (4) rights, duties and responsibilities of the unitholders; (5) restrictions on
Provincial Waterworks Authority Attention: Directors and Managers The Stock Exchange of Thailand CC: Secretary-General of the Office of the Securities and Exchange Commission, Thailand Attachment: Map of the
relations. The SFC is the principal regulator of the securities and futures market in Hong Kong and the primary authority for regulating retail funds offered to the public in Hong Kong. The role of the SFC is
affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors in the audit firm who has
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well as the
Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well as the
following rules: (1) display the name that it is a branch office attached to the name of the intermediary. In case of online branch office, the intermediary shall identify clearly that such branch will
domestic or oversea branch office in accordance with the following rules: (1) display the name that it is a branch office attached to the name of the intermediary. In case of online branch office, the