duties in accordance with standards, or is disqualified, the SEC shall command improvements in its practices, suspensions of its license for a specified period of time, or even a revocation of its license
English (United States) rulemaking Sign In Our use of cookies We use necessary cookies to make our site work. We'd also like to set
duties in accordance with standards, or is disqualified, the SEC shall command improvements in its practices, suspensions of its license for a specified period of time, or even a revocation of its license
Fund Approval and Management System (“OFAM”). In addition, the amendment would expand channels for announcement of dividend payment such as websites of asset management companies. The paperless
own low risk exposure. In addition, such requirement may be inconsistent with the business types or the business risks of intermediaries, and may not support the development of new businesses that make
Early this year, SEC held public hearings to obtain views on establishing rules that require companies issuing IPOs to disclose information related with the offering for sale of their securities
notification requires the business operators to comply with the policy, measures, and practice guideline for the delegation of other persons to operate a business on their behalf, for example, putting in place
. How- ever, in many markets individuals and their families are dominant shareholders (for example, in Hong Kong, China). These individuals or families may control a large group of companies, with
Kong Securities & Futures Commission for mutual recognition of managed fund products. We also undertook a self-assessment for compliance with IOSCO Principles to pave the way for Thailand’s Financial
the mark for another year in 2006, further strengthening the robustness of market infrastructure. Though affected by unexpected incidents late in the year, the market managed to recover and the stock