prevent holding company from having characteristics similar to investment company, the SEC specifies that the size of core business and other businesses that holding company holds shares, when compared with
allocation to directors, executives and related parties of the responsible underwriter is prohibited to prevent such persons from taking unfair advantage of their job position and duties related to securities
responsible underwriter is prohibited to prevent such persons from taking unfair advantage of their job position and duties related to securities allocation to seek personal gains for oneself or other persons
be given based on clear and accurate information. With uncertainty, investment analysts? view must cover both best and worst case scenarios, to prevent investors? unreasonable expectation. For listed
thus help prevent the retirees from using up all retirement savings. Duangmon Chuengsatiansup, SEC Assistant Secretary-General, said the SEC encouraged all asset management companies to set up post
percent of the total units sold for any particular person to prevent any individual from having majority control over scheme?s policy, which is more relaxed than traditional property fund in which any
-your-client and due diligence, custody of clients? assets and transaction verification to ensure that client services are efficient and to prevent exploitation of securities firms for improper gains
companies to strengthen their Chinese wall measures to keep confidential their internal fund operation information, such as the funds? proprietary trading decisions and pending orders, etc., to prevent the
this connection, for injured persons from their investment scams, please contact the ECD Police at 0-2237-1199 for further legal proceedings.To prevent damages from the aforesaid schemes, the SEC urges
decision without taking into account fundamental factors. In addition, lucky draw campaigns are prohibited to prevent the overinvestment or overuse of services. The revised rules will be applicable to all