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
believes that this Statement of Intent will aid the public and all capital market stakeholders to understand the SEC’s role and operations, and promote confident participants of the capital market. 2. Vision
cover page. IV. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt securities are listed and/or admitted to trading, or are
debt securities, highlight the riskiness of securities on the cover page. IV. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt
Management Company of the Hong Kong Covered Fund must also remain licensed by or registered with the SFC for Type 9 regulated activity (asset management). Both the Hong Kong Covered Fund and its Hong Kong
. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt securities are listed and/or admitted to trading, or are intended to be listed or admitted
Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the
and selling investment products through different channels. • Check and keep transaction records to confirm they are accurate and genuine. • Use a licensed/regulated financial service provider
. Paying Agent * L. Credit Rating รายการที่กําหนดในประกาศ กจ.4/2549 M. Applicable Law * III. RISK FACTORS รายการที่กําหนดในประกาศ กจ.4/2549 IV. MARKETS A. Identity of Exchanges and Regulated Markets × B
many Asian companies is the presence of a large and controlling shareholder. Listed companies are typically controlled by a shareholder owning the majority of the company‟s shares, either state-related