Malaysia, the Monetary Authority of Singapore and the Securities and Exchange Commission, Thailand in October 2013.This Framework allows fund managers operating in a member jurisdiction to offer CIS
Bangkok, October 1, 2013 ? The ASEAN Capital Markets Forum ("ACMF") announced today that the Securities Commission of Malaysia, the Monetary Authority of Singapore and the Securities and Exchange
were required to pay a civil monetary penalty, return the benefits received from committing the offense, a bar from serving as directors or executives in securities issuing companies or securities
such complaint is completed; In cases where the giving of advice or placing of orders under Paragraph 1 has been made via telephone or by electronic mean, a record of audio tape or electronic recording
until the handling of such complaint is completed; In cases where the giving of advice or placing of orders under Paragraph 1 has been made via telephone or by electronic mean, a record of audio tape or
analysis which the investment advisory company deliver to a customer; (4) an advice for a customer, except in case of using a tape recorder in giving advice which shall be kept for the period of not less
the certificate directly to the SEC; 1 The Hong Kong Monetary Authority, in conjunction with the People’s Bank of China and the Monetary Authority of Macao, launched the Wealth Management Connect Scheme
Cooperation. Investment Management Policy Department Tel: 0-2263-6246 The Hong Kong Monetary Authority, in conjunction with the People’s Bank of China and the Monetary Authority of Macao, launched the Wealth