advisors as well as knowledge enhancement of securities firms and investor contacts regarding product features and clients? risk profiles. Meanwhile, the SEC is promoting investor education to help investors
operations.The requirement to appoint independent directors, however, will not apply to certain cases; for example, securities and derivatives investment advisors due to their relatively small size and few staffs
Bangkok, August 26, 2014 ? The SEC supports commercial banks and their subsidiaries to expand their businesses in relation to new capital market products by taking roles of financial advisors
, foreign issuers issuing baht bonds must seek approval from the SEC in accordance with the specified criteria, such as qualifications of foreign issuers, requirements on financial advisors and intermediaries
bond issuers? experience sharing. The afternoon session will introduce ?the bond fair 2015? joined by financial advisors, bond underwriters and assets management companies seeking investment in new bond
. Related Party Transactions × XII. INTERESTS OF EXPERTS AND COUNSEL XIII. FINANCIAL INFORMATION A. Consolidated Statements and Other Financial Information × B. Significant Changes × XIV. ADDITIONAL
, featuring experts from relevant agencies, aims to provide information to investors and those affected by business rehabilitation to enhance their understanding of their rights and the related processes
experts who share their views on Hong Kong fund industry landscape, the role of transfer agents, and Hong Kong tax system. The participants include fund managers, custodians, and fund distributors from 29
speakers and experts from the financial services industry to share their experiences at the webinar, which attracted more than 500 participants, including fund managers, investment analysts, and other