Initiative ................... 30 Table of Contents [ 6 ] BEYOND COMPANY ENGAGEMENT Engaging on Public Policy
, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio investments and transactions. The revised regulations will be effective as from April 1, 2014 (for details of the
Capital dated 5 June 2014 shall be repealed. Clause 3 In this Notification: “ intermediary ” means an intermediar y engaging in the business of investment advisory service or derivatives advisory service
Capital dated 5 June 2014 shall be repealed. Clause 3 In this Notification: “intermediary” means an intermediary engaging in the business of investment advisory service or derivatives advisory service which
matters. STHAI was required to file with the SEC and publicly disclose the rectified and audited financial statements by June 26, 2014.STHAI later made a request for extension to submission deadline of its
can be inspected at management company, representative of management company (if any) and the Office. Provided that, upon the request of unitholders, clients or prospective investors, as the case may be
information under paragraph one can be inspected at management company, representative of management company (if any) and the Office. Provided that, upon the request of unitholders, clients or prospective
. Provided that, upon the request of unitholders, clients or prospective investors, as the case may be, management company shall reveal information of investment or holding of the assets as asset of management
specified period, the CIS operator may request a waiver of such reporting according to the procedures and methods specified in the Licensing Manual for the Public. In any case, the CIS operator shall submit