Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication records between {A}, then a former securities investment consultant of Country Group Securities Plc., and her client that she had been authorized by the client to take care of the account as well as make securities trading decisions on behalf of the client. She then continuously made trading decision...
deficient operations, as ordered. The SEC Board, therefore, by virtue of Section 35, Paragraph 2, of the Digital Asset Business Law, passed a resolution ordering a suspension of Zipmex business operations as
เพื่อยกระดับการกำกับดูแลให้ยืดหยุ่น ชัดเจนขึ้น สอดคล้องกับแนวทางสากล เสริมสร้างความโปร่งใส สนับสนุนเสถียรภาพความยั่งยืนของอุตสาหกรรมกองทุนรวมในระยะยาว
) Is the Hong Kong Covered Fund offered to the general public in Hong Kong? Yes No If “Yes”, please provide the following details: a) AUM as at the latest practicable date
following details: a) AUM as at the latest practicable date: ______________________________________ b) The investment objective/policy of the fund
investors Retail investors 8) Has the NRI CIS been offered in the Home Jurisdiction? Yes No If “Yes”, please state the AUM as at the latest practicable date
“Yes”, please state the AUM as at the latest practicable date ________________________________________________________________________ 8) Please provide the investment objective/policy of the NRI CIS
________________________________________________________________________ 8) Is the ARFP Passport Fund offered to the general public in the Home Economy? Yes No If “Yes”, please provide the following details: a) AUM as at the latest practicable date
general public in the Home Economy? Yes No If “Yes”, please provide the following details: a) AUM as at the latest practicable date: ______________________________________ b) The investment objective/policy