, the SEC allows issuer and intermediary to offer for sale of complex or high risk financial instruments to AI. However, certain products permissible for AI are allowed to offer to retail investors
allowed to apply for derivatives brokerage license limited to precious metals while licensed gold futures brokers will also be eligible to apply for such license to expand their brokering service to silver
are not the SET members will be allowed to send trading orders through the SET ?s trading system in cases where such system is linked with others, such as that of foreign exchanges. Also included in
will be allowed to manage REITs? non-real estate assets, providing that there must be a separation of management and compliance units while Chinese wall must also be in place. Outsourcing of the
statements. Thus, there was no plan or time allocation to audit the 2012 rectified financial statements for submission to the SEC by June 26, 2014. The SEC therefore allowed STHAI to submit the rectified
client that, from the effective date to the closing of tender offer, the client was not allowed to purchase EIC securities by any means other than those specified in the tender offer. {A}'s conduct was
connection, the SEC will prescribe further guidelines in details. ?The Capital Market Supervisory Board also approved that an application for establishment of property fund allowed to be filed with the SEC
provident funds with the objective other than hedging. Management companies will also be allowed to control investment proportion in derivatives either on an individual member basis or on a fund basis
in a new property may be proposed for the unitholders? consideration in concurrent with the proposal for approval of fund conversion. In addition, a property fund would be allowed to issue remedy
guarantee of returns, and that unit redemption ahead of the target date set in the investment scheme is not allowed must be clearly communicated to investors.In addition, advertisement based on past