derivatives trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators
transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended
of violation. The SEC urges anyone who is affected by the damage incurred from making an investment with this group of persons to provide the ECD Police with additional information at 0-2237-1199 for
for promoting good corporate governance as it reflects their commitment to responsible investment management for the best interest of investors. One of the I Code key principles is to monitor invested
person who is authorized by a management company to have power to make decisions on investments for a fund; “Association” means any association relating to securities business, which has been approved by
any natural person who is authorized by a management company to have power to make decisions on investments for a fund; “Association” means any association relating to securities business, which has
ninety days from the date of appointment of the arbitrator. Except where it is deemed necessary and appropriate, the arbitrator, at its own discretion, may extend the period for making a dispute resolution
date of appointment of the arbitrator. Except where it is deemed necessary and appropriate, the arbitrator, at its own discretion, may extend the period for making a dispute resolution but not exceeding
submitting the rectified and audited 2014 financial statements, due on May 8, 2015 and deadline extension for Q1/2015 financial statements, due on May 15, 2015, reasoning that the company is in the process of
unitholders supplementary information for decision-making and must report the monitoring results to the board of directors of the asset management company and SEC.The revision is made to align with the