Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders
the six short-to-medium term focus areas identified in the Roadmap for ASEAN Sustainable Capital Markets (“Roadmap”). The meeting also accepted the provision of technical assistance from the Asian
implements good governance, is accepted by its members, and is able to bring about the growth of their investment that would lead to sufficient retirement income for their employees. The management model of
the period of 10 years starting from 27 September 2023 will not be accepted.
significantly in the past years. The above actions will boost six strategic moves set out in the strategic plan, comprising (1) attaining high regulatory standards on par with internationally accepted standards
-term debentures and B/E to allow issuing financial institutions to use financial statements prepared according to the generally accepted accounting standards and submitted during accounting periods as
on short-term debentures and B/E to allow issuing financial institutions to use financial statements prepared according to the generally accepted accounting standards and submitted during accounting
that such financial statement was non-compliance with the generally accepted accounting principle.Owing to the fact that the counterparty notified Tungkum of the cause to terminate the agreements due to
to be personnel in the capital market business during the 10-year period, starting from 15 October 2025, will not be accepted.