company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and readiness to undertake the duty, and (4) Execute the duty by taking into consideration the benefits of

trading period to be inconsistent with normal market conditions to mislead other persons that CHUO shares were in high demand at the time and lure them to trade such shares accordingly. His offense was in

assets comes with high risks. Those who are interested in investing must have knowledge and ability to take risks in investment losses. In a case of persuasion for investment, investors should examine

The amended rules on approval of ICO portals give the applicants more flexibility and reduce risk on developing/investing in high-cost  work systems while the approval process is underway

, possess wealth that meets the criteria, and are able to accept high risk associated with the trading situation of SMEs and startups. The governing rules and regulations are expected to take effect within

Re: Rules in Detail of the Work System and Management of Mutual Funds for  Institutional Investors or Ultra-High Net Worth Investors, dated 1 February 2019.**  Regulatory Guillotine is the

without his client's orders.  Such trading was made in high volumes for several consecutive days, decreasing the number of shares in the said account. {A} then used the client's money to gradually purchase

economic growth and prosperity across the region.  In addition, to reiterate their commitment under MCMC framework, high-raking executives from Cambodia, Laos, Vietnam and Thailand signed a Memorandum of

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

securities which come with high application fees and do not answer the need of business operators who wish to provide specific services. The SEC has therefore revised the Ministerial Regulation on Securities