DSI for its consideration to take further legal action. The allegation shows that the accused are considered to be untrustworthy to perform duties as directors and executives of a securities issuing

information was insufficient for identification or verification.In addition, as the head of the company's Anti-Money Laundering Committee, he failed to take action when certain clients ordered transactions

by foreign issuers,? said Mr. Sakkarin. The amendments which have been approved by the National Legislative Assembly and the Cabinet will take effect after His Majesty the King?s royal endorsement

select auditors and the delivery of insightful reporting by auditors when the enhanced auditor reporting standards take effect in 2017.Mr. Eugene Wong, a member of the AOB said ?The new auditor reporting

the product and receive sufficient information before making investment decision. Intermediaries must comply with know your customer/client due diligent rule and request investors to take suitability

methodology and assessment of the Scorecard has been revised to take into consideration increased investor expectations, and developments in business and corporate governance practices.The revised Scorecard

core principles take into account environmental, social and governance (ESG) factors in the business practices of investee companies, offering institutional investors a balanced focus apart from seeking

investment consultant to take the said action. This led to an incomplete client analysis and inappropriate investment inconsistent with the client's demand and acceptable risk level. The SEC has suspended {E

in operation but changing identity or office after being raided and charged by the SEC. Investors should therefore take precaution and not making any investments with companies not licensed by the SEC

and sukuk will be allowed. The latter will also help develop sukuk market as well. In this regard, any practitioner having suggestion on revision of rules is urged to inform us and we will take the