extension of AGM holding of property funds, infrastructure funds and REITs, or a permission to use other alternative measures. In any case, being unable to comply with the AGM Checklist due to the COVID-19
the client. Her actions were therefore deemed as interfering with client's assets and failing to comply with professional standards of conduct. On {B} case, the SEC received a client's complaint stating
must comply with derivatives investment rules and be managed with due care for the benefit of investors. Maximum limit of derivatives investment must be set and clearly stated in the prospectus together
the calculation of purchasing and short-selling power in the new account. In this regard, securities companies must comply with the SEC?s and the SET?s rules and regulations on margin loans.
Islamic Laws. In all cases, the underlying assets must comply with Shariah rules. The proposed regulations for Sukuk issuance are in principle in line with those governing conventional bonds as both
at its Meeting No. 2/2010. Such investment, however, must also comply with the central bank?s relevant regulations. Currently, forex derivatives investment is permissible for hedging purpose only. The
meeting with AIMC: ?The SEC encourages the association to urge asset management companies in addition to the current AIMC guidelines, to also comply with the Global Investment Performance Standards (GIPS
be properly supervised by the business providers and for a more effective supervision system to make the regulatory system more efficient and comply with international standard, such as, the right to
return any gains from the wrongdoings.* Mr. Thanawat came in to acknowledge the civil sanctions, but did not consent to comply with the punishment terms within the specified time. The SEC has