organizational structure and indicate whether there are INEs at the global, regional or local level. B6 Whether the firm has designated a Quality Management (QM) partner who takes responsibility for the firm’s

become an important factor for stocks and mutual funds investment in recent times, but opening a trading account, which is the first step towards the services in the capital market, still takes a long

.?Sombat Narawutthichai, GPF Secretary General said that ?GPF takes cautious approach and considers all aspects in making investments. Other than investment return for members, GPF places high attention on

for investigation. Given such circumstances and the fact that criminal procedure takes a long time, it has been difficult to bring a market misconduct offender to justice.?The approved amendments

cooperation is creating the synergy for investment governance culture in the capital market.SEC Secretary-General Rapee Sucharitakul said: ?It takes more than strict regulations to develop a sound capital

SEC. Therefore, it is deemed that {B} has already served SEC’s punishment in full.  In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors

in other member jurisdictions under a streamlined authorisation process. The Supplemental MoU takes effect from today. With SEC Philippines’ participation in the ASEAN CIS Framework, the qualified

. Other employees involved in this incident were also disciplined by TMB for failing to comply with bank’s operating procedures.  In considering the appropriate administrative sanction, SEC takes into

suspension period ends in two years, five months and seven days.  In considering the appropriate administrative sanction, the SEC takes into account the following factors: the involvement and behavior of the

has already served SEC’s sanction in full.   In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors of the person(s) under consideration, the