penalty to be imposed on the offender. Appeal Any person who is affected by, and disagrees with, an administrative order has the right to appeal such order. The appeal procedure is provided by the SEC
○ Licensing ○ Revocation of License ○ Business Office ○ Paid up Capital of asset management company • Private Fund Management ○ Licensing ○ Business Office Rules and Regulation
○ Licensing ○ Revocation of License ○ Business Office ○ Paid up Capital of asset management company • Private Fund Management ○ Licensing ○ Business Office Rules and Regulation
been granted a license under this Ministerial Regulation shall comply with criteria, conditions and procedure specified by the SEC and shall maintain the formation and proportion of shareholding as
attached herewith. Clause 6 Limited company or public limited company that has been granted a license under this Ministerial Regulation shall comply with criteria, conditions and procedure specified by the
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effectiveness: civil actions for major violations, and support of class action under The Civil Procedure Code. - enhancement of supervision on securities exchange through Amendment to the Securities and Exchange
effectiveness: civil actions for major violations, and support of class action under The Civil Procedure Code. - enhancement of supervision on securities exchange through Amendment to the Securities and Exchange
possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the