, or a client who is a provident fund or a private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another
Trust Information technology Approved Personnel and -------------------------- Sub-topic ------------------------- Securities Issuance Takeover Approval Mutual Fund Private Fund Provident Fund Venture
. 2546 (2003). “association” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish
, labour, social development, business and the academe. The laureates now go on to contest the Regional Asia Pacific WEPs Awards set to be held on November 18. “Companies with practices in place to
securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior
consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients
Bangkok, January 23, 2012 - The SEC has revoked approval status of three investor contacts and suspended another for dishonest conducts and disclosure of client confidential information, effective