inconsistency with normal market condition. In the scheme, Mr. Sun Dongvanpakdee and three other persons who entered the settlement procedure on January 22, 2014 aided or abetted the aforesaid actions by allowing
normal market condition. In the scheme, Mr. Sun Dongvanpakdee and three other persons who entered the settlement procedure on January 22, 2014 aided or abetted the aforesaid actions by allowing others to
. In the scheme, Mr. Sun Dongvanpakdee and three other persons who entered the settlement procedure on January 22, 2014 aided or abetted the aforesaid actions by allowing others to use their trading
. In the scheme, Mr. Sun Dongvanpakdee and three other persons who entered the settlement procedure on January 22, 2014 aided or abetted the aforesaid actions by allowing others to use their trading
company (“AMC”) to easier receive unitholders’ resolution in revision or modification of mutual fund project or management procedure Amendments Details 2.1 Imposing fiduciary duty of AMC in mutual fund
whether or not the company (and its management) have complied and, if not, the extent of, and reasons for, non-compliance. (i) Governments in each country should adopt measures to ensure the independence
the firm’s quality controls. Furthermore, it is expected that the firms appropriately respond to the assessed risks in all relevant aspects, including scope, timing and extent of audit works, since this
access granting policy to the workpapers server and restrict the access to only those with necessity. • Identify complete related parties. Establish the policy and procedure on the consideration of
, 2016 Chapter 2 Application of License and Issuance of Derivatives Business License _____________ Clause 10 An applicant shall file an application with the Office in accordance with form and procedure
Chapter 2 Application of License and Issuance of Derivatives Business License _____________ Clause 10 An applicant shall file an application with the Office in accordance with form and procedure together