? futures trading orders through an account linked to him at another broker for his personal gain. This caused financial damages to his clients. His actions were in violation of Sections 145(3) and (4) of
appropriate investor protection. “Through this conference, we can expect to see stronger cooperation among regional regulators, sharing of knowledge, views, technical expertise and other experiences
-sized businesses still need to look for opportunities to access funding channels to keep their businesses running and supports to get them through the crisis. Since today’s ever advancing digital
fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of the credit rating process CRAs should endeavour to issue opinions that help reduce the asymmetry of
transparent, fair and free from anti-competitive situations; (2) Post-approval duties of the association: The association shall perform its duties in accordance with good governance principles and
transparent and fair management in line with international standard good governance guidelines, we are building trust and confidence of in all parties involved, including stakeholders and market participants
) General health of forests or other habitats is maintained through good management practices For non-smallholders: • FSC or PEFC certified For smallholders: • Comply with the management plan (see appendix 5
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agents. Without obtaining derivatives license from or being registered with the SEC, they advertised through various media channels including Facebook and solicited investing public to invest in gold in
orphanage for children with disabilities. Next year, the SEC expects to see more of such charitable activities particularly from listed companies as they are urged to devote more energy and resources to