of conduct specified by the SEC Office, or by the Association of Investment Management Companies with approval of the SEC Office; (3) the professional ethics and standards specified by the Association
. SEC.Khor.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the
.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the “Contacts
. Bhusana and Marupong had signed in acceptance of the complete construction and approved the full payment when in fact the construction was incomplete. Case 8: Committing a fraud by misappropriating money
been granted prior approval by the authorized Committee or management concerned; (c) number of persons and information of the personnel who are responsible for risk management arising from derivatives
been granted prior approval by the authorized Committee or management concerned; (Translation) (c) number of persons and information of the personnel who are responsible for risk management arising from
informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance