, stated that “the revision of the regulations represents another important step in leveraging capital market mechanisms to encourage listed companies to conduct their businesses with strong corporate

, including the individual’s relevant roles and conduct; any penalties already imposed; the extent of damages or benefits resulting from the actions; any corrective measures or other actions that either

Intermediaries By virtue of Clause 5(1) in conjunction with Clause 12(3) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 (2013) Re: Standard Conduct of Business Operation, Management

regarding approval for investor contacts and standards of conduct; (2) In case of a juristic person, the management company shall only appoint a private fund marketing representative and a representative for

Commission regarding approval for investor contacts and standards of conduct; (2) In case of a juristic person, the management company shall only appoint a private fund marketing representative and a

Notification of the Office of the Securities and Exchange Commission regarding approval for investor contacts and standards of conduct; (2) In case of a juristic person, the management company shall only appoint

service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct

, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct specified by

of conduct specified by derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective

SEC set the mechanism to support investor protection by revising business conduct regulations to enhance responsibilities of the intermediaries in selling products and providing services appropriately