Bangkok, March 12, 2013 ? The SEC is seeking public comment on proposed regulatory revisions to increase the numbers of intermediaries for the sale of investment units and investment advisors in the
speakers and experts from the financial services industry to share their experiences at the webinar, which attracted more than 500 participants, including fund managers, investment analysts, and other
exchange risk involved and risk management policies of the funds under their management which allocate at least 20 percent of net asset value to offshore investment. The new guideline is aimed to provide
the existing rules which allow only natural persons to perform such role. Once effective, the amendment is expected to further facilitate access to fund investment and promote development of new
further opinions from another financial advisor to supplement the clarification of the reasonable assumptions and the review on the fair value of the investment. PACE thus requested a deadline extension to
in its Q2 and Q3/2017 financial statements were incomplete and ambiguous, which is likely to affect the rights and interests of shareholders or the decision making on investment. For example, an
: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their financial position and investment knowledge. In addition, the company failed to take sufficient measures
financial position and investment knowledge. In addition, the company failed to take sufficient measures to identify the clients and the true beneficiaries and did not reconsider appropriate credit lines for
(1) to disclose information related to investments in the Notes to the Financial Statements up until the period with the investment proportion lower than 40 percent of the total assets; (3