SEC considers revising the regulations on the offering for sale of investment in shares held by listed companies or their subsidiaries in order that the shareholding can be conveniently
begun, {A} could not execute the ATO order in time and decided to execute the order at the market price (MP) instead without notifying the client in advance. As a result, the client received less
client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
. Accordingly, there was no record of client's selling order.Making trading decisions of securities in the client's account without the client's order and not taping investment advices and client's orders were in
and investment, in order to become quality investors and fundraisers. Investors will experience how to be quality investors, who are able to uphold the responsibility regarding their own finance and
self-assessment survey in order to collectively find an appropriate direction or outcome in dealing with the issue.SEC also prioritizes and considers this matter to be crucial. Therefore, SEC has set
Asia Pacific Regional Committee at the IOSCO Asia Pacific Hub in Malaysia. This will be the first time for the region to host such program in order to enhance knowledge on sustainable financing
drive business and human rights in order to achieve the sustainable development goals (SDGs)._________________________
National Strategy, the policy statement of the government and developmental plans in order to achieve the country’s vision of becoming a developed country with security, prosperity and sustainability. To