sent to the client within the following business day or the day when the intermediary has received insistence on the transaction from the foreign country. In this regard, if such insistence taking place
.............................................................................. 43 United Kingdom: Clear Policies Move the Needle on Stewardship and Engagement .................................... 45 KEY QUESTIONS TO ASK BY SECTOR Taking Investment Lessons from Socrates: Asking
necessary to properly implement the Principles in a specific jurisdiction. Further, the IOSCO CRA Code is not designed to be rigid or formulistic. It is designed to offer CRAs a degree of flexibility in how
countries but also the global financial market place, which is designed to mitigate the negative impacts of financial contagions may not have intended consequence if risk seeking activities are a function of
The Emergency Decree imposes offences of unfair trading in relation to the purchase, sale or exchange of digital assets taking place in a Digital Asset Exchange in a similar manner to the corresponding
established under a specific law, or invest it within the scope of investment or according to investment policy which the derivatives clearing house sets out by taking into 7 consideration the liquidity, risks
) “specific advice” means investment advice given to any person which is suitable to the investment objective, financial status, or requirements of such person. Chapter 1 Operational Control _____________
considering the level of provisions taking into account the prolonged uncertainties from the COVID-19 and recorded total expected credit loss amount for 1Q21 at Baht 1,234 million. The Bank placed importance on
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets. At least, there shall be a separation of personnel responsible for preparing
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets. At least, there shall be a separation of personnel responsible for preparing