the benefit of compliance with the order of the SEC Office, by virtue of section 141 (2) of the Securities and Exchange Act, B.E. 2535 (1992), the Office of the Securities and Exchange Commission, with
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer
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
management (in alphabetical order): 1. Australia: Commonwealth of Australia 2. China: People’s Republic China 3. France: French Republic 4. Germany: Federal Republic of Germany 5. Hong Kong SAR 6. Ireland 7
Court had reversed the decision of the Central Bankruptcy Court by rejecting the rehabilitation plan and canceling business rehabilitation order issued by the Central Bankruptcy Court. JAS later disclosed
order, the timing, price or quantity of the order or how to manage the order after its submission, with limited or no human intervention.1 • Algorithmic trading, program trading, automated trading, and
, as a relief, that the defendant is to settle the debt in monetary form, such relief of the class of persons must state the principles and methods of calculations in order to pay money to the members of
order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably
intermediary. “client” means a person who uses or will use services relating to securities businesses from a securities company or derivatives business from a derivatives intermediary. Clause 2 In order that an