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
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
Public task basis Security of the premises. Entering and exiting the premises of the SEC Office Visitors Consent basis/Legitimate interest basis Supervision and inspection of risks related to business
agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
securities business, or the dispute between a provident fund member and the respondent, provided that the claimant shall demonstrate a written evidence or agreement that the respondent gives consent to resolve
=30&rows=10 31 - 40 of 15,636 results Sort by: Relevance Date (Newest) Date (Oldest) SEC advises the public to be cautious about using services of unlicensed digital asset business operators SEC
: Relevance Date (Newest) Date (Oldest) SEC advises the public to be cautious about using services of unlicensed digital asset business operators SEC Secretary-General Ruenvadee Suwanmongkol said: “ Digital