risk, fees or expenses, conflict of interest and other encumbrance. Where there is a disclosure of the investment portfolio, it should be disclosed to all investor equally; (3) Using of adequate and

should have been disclosed. In addition, I hereby certify that I am responsible for the arrangement of the Company’s efficient internal system and adequate management system to ensure that the information

, reliable and efficient operating system to support an intermediary ’s business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client , and [ii

possession OR "electrical possession" OR "electric ownership" OR "electric possession" OR "power ownership" OR "power possession"&wt=json&indent=true&facet=true&facet.field=key_filetype&facet.field=key_sitemap

ensure that such investors would have adequate access to relevant information to better understand financial products before making well informed investment decisions.?The consultation paper is available

while classification of assets treated as capital will be more flexible. In this regard, guidelines for the business operators unable to maintain adequate capital will also be prescribed. The consultation

Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as

Bangkok, August 15, 2014 ? The SEC is seeking public comment on draft capital requirement rules applicable to securities companies being unable to maintain adequate net capital as prescribed

issuers. The proposed revision intends to simplify the rules and  strike a balance between the investors? need for adequate information disclosure with respect to their  investment decision and the

Volunteers as key mechanisms in monitoring and encouraging listed companies to conduct shareholders’ meetings effectively, provide adequate disclosure of information to shareholders, and facilitate