Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual (No. 2)
, regardless of the usage of advice from the investment advisory company, and that a general advice is given regardless of the specific characteristic of an individual, therefore, prior to adopt an advice, the
system. The exemption provides tax equalization, eases burden and attracts individual?s investment, which will facilitate investment in listed ASEAN securities through SET trading system and thus
, and that a general advice is given regardless of the specific characteristic of an individual, therefore, prior to adopt an advice, the customer should consider the suitability with the purpose of
services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
%20Responsibilities_2013.pdf horizons for individual staff members advance alignment with the interests of beneficiaries and clients. Asset owners may wish to ensure that remuneration frameworks do not unduly constrain