found that {A} had been authorized by his client to make securities trading decisions on the client's behalf with high trading volume. The communication record showed that {A} traded the securities and

unitholder is entitled to hold up to one-third of the total units of a scheme. In addition, REIT shall observe high standards of corporate governance, appoint independent directors and ensure that transactions

region.?? ------------------Notes: 1. The ASEAN Capital Markets Forum (ACMF) is a high-level grouping of ASEAN securities regulators established under the auspices of the ASEAN Finance Ministers in 2004.2

to lure investing public; for instance, soliciting general public to invest in shares, gold or crude oil. They usually offer unreasonably high returns and principal guarantee as well as quote foreign

permitted {A} to make further securities trading decisions. Besides, the securities and derivatives trading volume in the client?s account was high during the misconduct. Trading securities and derivatives on

unreasonably high returns and principal guarantee, quoting foreign currency as reference with fixed exchange rate, falsely claiming as foreign companies' business alliances and being overseas investment needed

for a certain period of time and with high trading volume. Moreover, {A} admitted that he traded securities for a client without any order. Although this client notified him to stop trading, {A

(IFA) opined that the shareholders should not approve the transaction for several reasons. First of all, it is an investment in high risk assets and the uncertainty of debt repayment could significantly

state agency or set a short validation period for such ID documents. This may cause some shareholders or their proxies to be rejected from the AGM and may as well impose high costs on foreign shareholders

Bangkok, February 15, 2013 ? The SEC hosted the first meeting of  heads of capital market policy makers and regulators in the Mekong region on February 8, 2013 in Bangkok. This high-level meeting was