of transactions as per clients’ orders under (3).The SEC emphasizes the importance of monitoring financial condition and liquidity of business operators to make sure that they comply with the
during the first year of trading to make sure investors will have sufficient information for decision making. We expect that the IB Club will circulate our guideline to its members shortly,? said Ms
appointed the Product Committee to proactively research and study financial innovations introduced in the foreign markets, plan and monitor the introduction of new products in the local market, and make sure
appointed the Product Committee to actively research and study financial innovations introduced in the foreign markets, plan and monitor the introduction of new products in the local market, and make sure
business. We urge the AIMC to make sure that its members strictly observe the SEC rules concerning the internal control and inspection of trading activities in their proprietary portfolios as well as
pool of potential investors. In addition, we are sure that this MOU’s implementation will lead to a good model for the cooperation in the region and we are optimistic that capital markets in the region
advancements to guard off criminals. We must extend our close collaboration and teamwork to make sure that our preventive measures on money laundering and fighting against financial support for terrorism and
commercial banks, insurance companies, issuers and relevant agencies. Their opinions and suggestions were taken into consideration to make sure that revised rules would not hinder fund raising and liquidity