reports. The CFA Institute also invited executives and experts to share their views and practical experience on the matters with participants from securities industry including executives, securities
Supervisory Board recently approved regulations to allow offer for sale of commercial banks? Basel III tier 2 instruments to retail investors. Mutual funds, excluding money market funds, will also be permitted
management. Meanwhile, the SEC Board also allows type 1 property fund to borrow for investment for another year starting from the day REIT regulations come into effect, providing that the investment must be
misuse of proceeds received from increase of capital by investing in shares and warrants of P Plus P Plc. The proceeds used to invest in the securities also exceeded the amount approved by GEN executive
quarter of 2016 because they failed to present correct information on the liabilities incurred from the company's issuance of bills of exchange (B/E). KC is also required to have a special audit on such B/E
processed. Instead, he falsified documents to deceive the clients that their orders had been executed. He also deceived the clients that the Automated Trading System (ATS) failed to function and thus asked
? written authorization. She also arranged payments for traded securities ordered by other individuals. Moreover, the SEC found that Meaunchit had requested to transfer trading transactions to the company?s
total revenues came from a major counterparty. 2. In term of due diligence, failure to have the following information disclosed:(1) Debt repayment ability of a large debtor which is also the applicant?s
that Sagha Sakulekpaisan (former name: Chakchai (Thana) Sae Jiem, also known as ?Here-Tee") had sent, through the accounts of eight persons, trading orders of FOCUS shares during April 24-25, 2008, IFEC
fund) instead of the whole master fund. This policy-based calculation will also apply to investment in assets of the employer and companies in its group; (2) Investment in units of mutual fund