Exchange, over-the-counter centre, organization related to securities business or information relating to any violation and penalty imposed on the violators, including any other information obtained in the
arising from or related to its use. (1) treasury bills; (2) bonds; (3) bills; (4) shares; (5) debentures; (6) investment units which are instruments or evidence representing the rights to the property of a
its use. 2 (1) treasury bills; (2) bonds; (3) bills; (4) shares; (5) debentures; (6) investment units which are instruments or evidence representing the rights to the property of a mutual fund; (7
. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the general public as being ready to engage as an agent in the business of trading in derivatives
. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the general public as being ready to engage as an agent in the business of trading in derivatives
related penalty provisions shall apply to the register and transferability of any other securities as specified in the notification of the SEC under Section 33, mutatis mutandis. In cases where the SEC
have the duty to disclose the information relating to any violation and penalty imposed on such person who commits an offence under this Emergency Decree, including any other information obtained in the
for the account of the SEC Office. Section 15. To protect the public interest or investors, the SEC Office shall have the duty to disclose the information relating to any violation and penalty imposed
/RoyalEnactment/enactment-digitalasset2018.pd... (Translation) arising from or related to its use. (1) treasury bills; (2) bonds; (3) bills; (4) shares; (5) debentures; (6) investment units which are instruments or
/RoyalEnactment/enactment-digitalasset2018.pd... (Translation) arising from or related to its use. (1) treasury bills; (2) bonds; (3) bills; (4) shares; (5) debentures; (6) investment units which are instruments or