for the Office or investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under
measures will help reduce market volatility, which will subsequently benefit the overall capital market. The SEC will continue monitoring and collaborating with the SET and TFEX to assess the situations and
review provider to assess each step of the bond offering and issuance is encouraged. This regulatory revision was introduced to align with the SEC’s strategic plan to promote investment and fund raising
, which would help the visitors assess their risk tolerance before choosing financial products accordingly. Visitors are also welcome to participate in the SEC quiz games on the capital market and
for doubtful accounts for the overdue loans issued to company director(s) without collateral in 2013.As to the 2015 annual financial statements, EIC executives failed to assess and update the fair price
cases where a client wishes to use services relating to each type of the risky or complex capital market products for the first time, an intermediary shall examine the client’s investment knowledge in
type of the risky or complex capital market products for the first time, an intermediary shall examine the client’s investment knowledge in order to assess suitability before investing in or entering
necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or
procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or transactions; (b