required to employ Value-at-Risk (VaR) approach in determining global exposure to better reflect market risk. Also, the funds must run stress test and back test along with disclosing information on VaR in
laws may be impractical for capital market misconduct whereby important evidence is usually in the possession of the offenders contrary to other criminal cases that leave more traces https
integrated recycling plant, located near Manila and run on state of the art technologies and industry-leading best practices to employ the safest and most advanced recycling process for plastic bottles made
lack sufficient information on products and services. At times, advertising and sales promotions employ premiums or gifts to attract the investing public and rush them into investment decisions. In this
advised to regularly examine the mutual fund unitholding reports as well as related bank accounts. Moreover, investors should not leave important investment documents with ICs. In case of any doubts or
partial investment. Sakkarin then tricked the client into believing that he would join the investment and leave the purchased shares in the client's account. The client therefore transferred money to
the securities, including the amount and price. He also asked the client to leave the ATS saving account with him so he could help the client trade securities. In addition, he rehearsed the client in
for providing auditing service to businesses in the capital market. Such audit firm must employ at least one auditor in the capital market. The name list of the audit firms inspected by the SEC is
leave their fund passbooks and savings passbooks with https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6552 SEC suspends three investment consultants for failing to perform duties with responsibility
should not leave their fund passbooks and savings passbooks with https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6552 SEC suspends three investment consultants for failing to perform duties with