providers will have a duty to oversee proper securities trading. For example, information must be disclosed before and after trading for investment decision-making, trading must be regulated for smoothness
beginning of 2020. Most respondents were in favor of the regulatory updates and suggested that other regulations could be used to oversee fund management and provide investor protection. The
standards of conduct, especially the executives who oversee compliance of business operators in accordance with the law, standards and ethics of business operation, to build investors’ confidence
foreign service provider ] intermediaries shall outsource the function which is investment management of mutual fund or provident fund or derivatives investment management to a foreign service provider
service provider] intermediaries shall outsource the function which is investment management of mutual fund or provident fund or derivatives investment management to a foreign service provider which is
service provider/intermediary in the buying and selling of investment products. • Explain the risks of delegating the management of an investment account to a third party. • Identify the cyber security
appropriate capacity and experience to oversee effectively and manage all relevant activities in the interests of beneficiaries or clients. 1.4 Conflicts of interest, codes of ethics, compliance Institutional
: 19 August 2019 2. Parties involved: Service receiver: Jubilee Enterprise Public Company Limited Service provider: AtVantage Company Limited Relationship: Close member of the same family of Executive
receiver : Jubilee Enterprise Public Company Limited Service provider : At Vantage Company Limited Relationship : Close member of the same family of Executive Director 3. Type of transaction : Service
time they open a new account. The single form helps to solve such issue. In addition, investors may request the current service provider who has a compatible system to send the account opening