July 2016. {X1} later revised and improved the working system of its securities business and set up more efficient measures for preventing and detecting irregularities thereof.Investors are strongly
was always higher than its acquisition price. The buy side would occur in the opposite direction. Instead of buying securities for UBS?s clients at the best offer available on the SET main board
criteria set by institutional investors; for instance, GPF and AIMC that TIA will exercise dissenting votes in the significant agenda; for instance, the agenda proposed in the meeting or having auditor?s
liability partnerships and accounting corporations are registered with ACRA.For more information, please visit www.acra.gov.sg About AOBThe AOB was set up by the Securities Commission Malaysia in 2010, to
was suspended until that date while the rest of suspension period was instead set as the period for acceptance of her re-application for approval as capital market personnel, effective as from April 27
suspending the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns investment consultants not to submit trading orders on the client?s behalf even the client
compliance with the company's rules*. The SEC, therefore, sanctioned the said four persons by suspending the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns
run, such as, an MOU with ASEAN members to allow the offering of collective investment scheme (CIS) set up in ASEAN to retail investors, promoting asset allocation services to support investors to
conversions seemed to set investment framework for {E} to make trading decision and then inform the client afterward. This could be considered as misconduct for obtaining authorization to make derivatives