-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
offer for sale of newly issued debt securities*, and 3) bills that are not securities. To enhance regulatory clarity and consistency with business practices of the private sector, the SEC is proposing to
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. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing
entrusted to perform the duty for a securities company. Clause 3/2. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A
the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board
additional clarity to others. While some of the Principles may be more appropriate for larger than for smaller companies, it is suggested that policymakers may wish to raise awareness of good corporate