Limited ("TMBAM eastspring") failed to order or act duty resulting in TMBAM eastspring failed to put in place sufficient and effective communication guideline and internal management in the period
or a financial instrument at a fair value in the secondary market where public disclosure is made; (2) a transaction for investment or service provision whose price, compensation or service fee is
carry out the transaction immediately: (1) a transaction for an acquisition or a disposal of securities or a financial instrument at a fair value in the secondary market where public disclosure is made
not necessary for some types of capital market product s ; (3) announcing a detailed guideline for the benefit of compliance with the requirements under this Notification in order to instruct
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consultant providing consultation only on capital market product not having complex characteristics ; (2) complex instrument investment consultant means an investment consultant providing consultation on
characteristics; (2) complex instrument investment consultant means an investment consultant providing consultation on capital market product not having complex characteristics as well as the product having high
Office has issued a Guideline for Operational Control and Security of the Information Technology of a Securities Company whereas this Guideline compose of mandatory[M] and accredit [A] and if the company
and Exchange Commission No. SorThor/Nor. 34/2547 Operational Control and Security of the Information Technology of Securities Company with the same level of standard. The Office has issued a Guideline
instrument that will be effective from 1 January 2020. The report form will be revised to be in line with the financial statement form which has recently been revised. In addition, SEC considers it