monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
guidanceAs legislation has been drafted and administrative arrangements put in place, some additional clarity can now be provided about the laws that will apply in each economy to incoming Passport Funds. The
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
Thailand: (1) being allowed to perform audit work under foreign law or rule; (2) being affiliated with an audit firm that has an audit quality control system and the required number of personnel; (3) meeting
price is a firm quotation or an indicative quotation. Clause 10. In case where securities company offer a firm quotation, such securities company shall; (1) Purchase or sell with such offering price and
request or inspection. Chapter 2 Securities Trading Clause 9. Securities company shall notify its counter trader whether such offering price is a firm quotation or an indicative quotation. Clause 10. In
9. Securities company shall notify its counter trader whether such offering price is a firm quotation or an indicative quotation. Clause 10. In case where securities company offer a firm quotation
-making.Meanwhile, certain rules governing advertisement and sale promotion of mutual funds are also being revised to enhance clarity and flexibility.The SEC supports intermediaries in their offering of diverse
Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision