exist. Therefore, personnel of asset management companies who are responsible for the funds? operations must perform their duties honestly for the best interest of their clients. They must also comply
Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} from duty as an approved investment consultant
Personnel of Business Operator to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore has suspended Theera for six months. Due to his approval status
Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duties of Analyzing Investment and Giving
responsible for the operation of the reporting entity?s orders or action, failure to give instructions or perform their duty, such person may also liable to the penalty under the said Acts.SEC Secretary-General
professionals and also strictly perform the audit oversight on a regular basis and in line with international standards.
. They must render services and perform duties honestly in compliance with professional standards and codes of conduct. On the other end, investors themselves must strictly abide by trading regulations
, auditors, financial advisors, and fund managers whose approval expire or will expire from October 26, 2011 to March 31, 2012 are allowed to perform their duty until March 31, 2012. In this regard, the
shareholders’ meeting the power to ban entitled shareholders from attending the meeting and excercising their voting rights. In addition, such action was deemed a failure to perform duties responsibly, carefully