Qualified Persons Acting As Fund Supervisors of Mutual Funds (No. 2). *** Ultra-High Net Worth (UHNW) Investor Funds refer to (1) mutual funds for institutional investors or ultra-high net worth investors
2018, the six offenders with personal relationships or connection through financial routes, stocks, business or related persons, colluded by dividing tasks to place orders to buy and sell PRINC shares in
According to the referral from the Stock Exchange of Thailand (SET), persons were found to have taken action liable to be an offense related to the sales of SQ shares by using inside information on
, representatives from embassies of various countries, and participants from private sectors, non-profit organizations and educational institutions, making the total attendance of approximately 400 persons. The
accounts regularly to prevent other persons from using the accounts to trade securities without the investors’ authorization. Besides, transaction conformation documents must always be monitored to make sure
persons hold its shares on EARTH’s behalf. In this regard, the legal advisor viewed that the agreement of proxy shareholding should have been voided because such action was not allowed by Indonesian Law
companies? chief executive officers (CFO), the key persons responsible for accuracy and reliability of financial reports, aiming to raise awareness of their responsibilities and importance of financial
? account to authorize securities transfers to the accounts of her related persons. In so doing, she filled in her own telephone number on the securities transfer form as the transaction confirmation number
regulations. For example, they withdrew money from the clients' accounts and used it for other persons' unit purchases in absence of the accounts' owners, or executed unit purchase orders by charging the
the law*. The SEC, therefore, sanctioned the said four persons and the executive by suspension the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns