investors.In addition, the SEC asked asset management company to develop mutual funds to serve demand for savings and tailored for particular groups of investors, for instance (i) mutual funds for savings

, and infrastructure funds.  The proposed issues concern seeking the unitholders? resolution that either impacts all classes or a particular class of investment units; counting votes of persons or group

procedures as specified in the notification. In this regard, Bitazza failed to provide appropriate internal systems and processes for preparing, approving, and supervising advertisements. In particular

for monitoring the operations of the digital asset business operator was deficient. In particular, Bitazza failed to prepare an audit plan that appropriately reflected the relevant risks. The audit

? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders

obtaining authorization from client to make securities trading decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re

Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and

the transactions. Failure to record the client's securities trading orders and obtaining authorization to make securities trading decisions on behalf of the client are, respectively, in violation of

advance. In this regard, the securities company shall set out the rules which requires a written authorization for seeking an approval. 12 As amended by the Notification of the Securities and Exchange

media shall seek an approval from the securities company in advance. In this regard, the securities company shall set out the rules which requires a written authorization for seeking an approval. 12 As