trigger fund rules require that intermidiaries disclose clear information with regard to commission fees, product features and risk warnings. For example, the information that the trigger point is not a
to provide investors with quality and standard services from business operators.The regulations will require business operators to provide personnel, communication system, customer service system
. For example, an offering at the market price does not require the approval of the shareholders’ meeting while an offering at a lower-than-market price requires the approval of the shareholders’ meeting
Currently, a large number of intermediaries provide investment products and services. They each tend to require investors to fill in a lot of information via various, different forms to open an
code of ethics for SEC workforce in line with the intention of the Ethical Standards Act. The drafted code of ethics contains regulations which require the workforce to perform work and uphold ethics
be useful for policy making with regard to exchange rates and financial system in an effective and timely manner.The SEC therefore proposes to revise relevant regulations to require securities
accordance with the specified qualifications and prohibited characteristics. In addition, the revised rules require directors and managers of securities and derivatives business operators to pass training
supervision and trustworthiness of listed companies? financial reporting. Vorapol Socatiyanurak, SEC Secretary-General said that ?Following the 2010 revamp of audit oversight to require SEC-registered auditors
clearing house in accordance with the criteria prescribed by the clearing house ; (3) contracts having the following characteristics: (a) containing provisions that require one party to deliver goods to the
in accordance with the criteria prescribed by the clearing house; (3) contracts having the following characteristics: (a) containing provisions that require one party to deliver goods to the other