shareholder meeting in key company decisions. The chapter also deals with disclosure of control structures, such as different voting rights. New issues in this chapter include the use of information technology
investment decisions can entail more risks. • View investing as part of the financial planning process rather than for speculative gain. 2. Investment product attributes • Identify and compare the features and
honesty by disguising that trading decisions were not actually made by clients; and receiving orders from persons not the owner of securities trading accounts. He was an employee of Tisco Securities Company
found that {A} had been authorized by his client to make securities trading decisions on the client's behalf with high trading volume. The communication record showed that {A} traded the securities and
with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by by failing to demonstrate that the investment decisions it made have been prudently
trading orders, trading securities on behalf of client and making trading decisions for benefit of client without the client?s orders.Following a complaint against {A} lodged by a client of KGI Securities
ensure that such investors would have adequate access to relevant information to better understand financial products before making well informed investment decisions.?The consultation paper is available
into how capital market professionals could integrate climate-related risks and opportunities into their analysis and investment decisions. The session emphasized the importance of ethical investment
Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
for new trustee appointment. (3) Resolutions to dismiss or appoint a new trustee: In case of REITs and Infra Trusts, such resolutions must be approved by not less than 3/4 of the total number of the