companies comply with the following key regulations: 1) To provide several investment plans for members to choose from, including a qualified default policy for those without expressed preference; 2) To
securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information
securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information concerning operation of securities
securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information
consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset, (3) use of the client's trading account to trade
was no evidence that the client had ordered the responsible investment consultant to do so. Auracha?s actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct
requirements under this Notification. Clause 6 A securities company shall provide services related to selling, repurchasing and redeeming units of foreign collective investment scheme only on the approved list
acts that may create conflict of interest to investor, in the case where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an
provide an effective operating system to protect such investment or entry into a contract creating conflict of interest to the fund, Except that management company appoint other person to manage an
where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a