institutions established by the specific law. (2) a written contract upon the appointment of an agent for the custody of client’s assets shall be arranged. Such contract must contain a prohibition on appointment
by the specific law. (2) a written contract upon the appointment of an agent for the custody of client’s assets shall be arranged. Such contract must contain a prohibition on appointment of sub-agent
?SECID=7715 SEC and SET run a joint public hearing on the proposed prohibition of investment company characteristics in issuing and listed companies : * Consisting of the laws and regulations concerning
legal requirement on minimum face value of debentures may be too high and hinder retail investors to access debt markets, or the prohibition of set-off can cause unnecessary procedures and fees to issuer
] its parent company, subsidiary company, associated company, major shareholder or controlling person. In this regard, the foregoing prohibition does not apply to a case of which the relation thereof has
executive at any securities issuing company and securities company for 12 months each. The banning period shall begin from the date when each offender signs the letter of consent to comply with the civil
of any securities issuing company or securities company for 26 months, 9 months and 12 months, respectively. The banning period shall begin from the date when the offenders sign the letter of
Bangkok, September 1, 2014 ? The SEC notified Vintage Engineering Plc. (VTE) to rectify its Q2/2014 financial statements due to auditor?s qualified opinion arising from scope restriction. VTE is then
services through business operators in the host country, prohibition of giving advice to particular customers and soliciting for sales of the capital market products. Each ACMF member may issue additional