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information in the insurance business. Over the years, OIC has made preparations for the insurance business sector in support of the compliance with the PDPA. This includes the issuance of guidelines on
investment research in compliance with ASCO guidelines as approved by the SEC. The guidelines will include the requirements that brokers must produce investment research to cover at least 30 securities; each
), date of birth, citizenship, sex, marital status, father’s name/mother’s name, (former) titles, (former) surnames, and name of spouse, etc. Contact information: Information for contact purposes, including
market capitalization as of May 31 (assessed every two years). Country-level assessments evaluate publicly disclosed information from listed companies using the OECD guidelines and peer review to ensure
) “ insider information ” means a material fact which would affect the price of a securities and has not been disclosed to the public, and has become known to a securities company during the course of the
the Capital Market Supervisory Board No. Tor Thor. 8/2556 Re: Rules, Conditions, and Procedures for Dealing of Debt Securities (No. 4) dated 15 February 2013. 2 Ibid. 2 (7) “insider information” means a
guidelines specified by the intermediary in compliance with the aforesaid rules. In this regard, such measures shall at least ensure that the service provider shall not have any characteristic which may cause