found the participation in the committee invaluable. It opens further opportunities for the SEC to contribute to the development of investor education globally, as well as to utilize the experiences of
charge; otherwise, a civil lawsuit is an option. The SEC has no authority to handle a claim for compensation or proceed with a civil dispute. Should you need legal advice on such matters, please contact a
approval. However, if a mutual fund management company files an application for automatic approval not in compliance with the specified conditions, the SEC may proceed with one or more of the following
instance, securities intermediaries, asset management companies, investment consultants and derivatives intermediaries with underlyings such as SET index, oil and precious metals (gold, silver, etc.); For
Minister’s approval under Clause 6, the approved person shall proceed with establishment of new limited company or public limited company for operating securities business in the category of private fund
, approved person shall proceed with establishment of limited company or public limited company to undertake securities business in the category of inter - dealer brokerage. Newly established limited company
, however, the public relations department may be responsible for the job. In such case, must the job be transferred back to the company secretary? And how should the company proceed? A: By law, the company
receiving the SEC’s recommendation. Clause 4 Upon the Minister’s approval under Clause 3, approved person shall proceed with establishment of limited company or public limited company to undertake securities
from the date receiving the SEC’s recommendation. Clause 4 Upon the Minister’s approval under Clause 3, the approved person shall proceed with establishment of new limited company or public limited