is intended to propose the draft notification that will cover the clear segregation of work for the delegation of other persons to operate.  The draft notification also allows business operators to

include:   - disclosure of additional information to cover individual remunerations for executives of the highest rank, e.g., chief executive officer and managing director;    - extending the periods for

limited only to major investors or high net worth investors.The guidelines proposed by SEC for supervision and encouragement of such business cover 4 key points as follows:1.     The process for wealth

The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However

return rate and the investment term were written on the cover of the client's fund book. The SEC has therefore suspended approval for {B} as a securities investment consultant for a period of two years

principle the proposed guidelines which cover four major areas, as follows:  (1) To support current PVD employers in signing up employees for PVD membership automatically unless opting out; (2) To promote

system which can prevent any misconduct that may cause damage to clients or securities holders and such system shall at least cover the following matters: (a) separation of operational units and

investment research in compliance with ASCO guidelines as approved by the SEC. The guidelines will include the requirements that brokers must produce investment research to cover at least 30 securities; each

made up evidence to camouflage that the person who ordered the trading transactions was the account owner to conceal such trading information from AEC and the regulator2. {C}'s case was deemed a failure

conceal such trading information from AEC and the regulator2.  Patcharee?s case was deemed a failure to provide securities trading services according to the order of the account owner or the authorized