Office to ensure compliance with this Notification, require derivatives clearing houses to submit to the SEC Office reports or any particular documents periodically or from time to time, within a time
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
Memorandum of Undertstanding on Streamlined Authorization Framework for Cross- border Public Offers of ASEAN Collective Investment Schemes and being empowered to supervise the collective investment scheme or
Notification; (3) to allow the SEC Office to ensure compliance with this Notification, require securities clearing houses and central securities depositories to submit to the SEC Office reports or any particular
any disgraceful record, and must comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with
comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange
securities company shall determine methods and procedures for securities trading for clients on a time priority basis and give priority to the benefit of clients over the benefit of itself. In particular, it
securities company shall determine methods and procedures for securities trading for clients on a time priority basis and give priority to the benefit of clients over the benefit of itself. In particular, it
securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has prescribed, the Office shall have the authority to waive
deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has