) Performing work in a manner that indicates a lack of professional ethics or standards as stipulated by an association under the Office’s approval; (18) Performing the management duty in a manner that indicates
compliance with any order of the Office or the Securities and Exchange Commission under Section 141, Section 142 or Section 143; (17) Performing work in a manner that indicates a lack of professional ethics or
factual misstatements, limitations of the accounting systems, insufficient internal coordination, and the lack of awareness of the role and duties of the chief financial officer (CFO) and accountants in
to operate businesses regarding such products;(5) Those products above may lack of liquidity for trading with cash or other productsIn addition, the Monetary Authority of Singapore (MAS) has
participation in this regulatory sandbox is expected to solve issues in corporate bond market. This includes the issue of time-consuming process for verification of bondholders’ ownership and the lack of
Bangkok, 25 January 2019 ? The SEC advises the public to be cautious with the solicitation to invest in the initial coin offering (ICO) of BSmart digital tokens as it has not been approved by the
nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for
irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for operating fund supervisor business, at least
List of head of Compliance Please wait... List of head of Compliance No. Company Name Commencement Date Securities Company Asset Management Company Investment Advisory Company Derivatives Brokerage