Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
were sufficient and effective as a quality control measure. In today’s complex business environment and with even more complicated business transactions, sufficient supervision by highly experienced
according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or filled up at the
.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of
Supervisory Board No. TorNor. 76/2552 Re: Rules, Conditions and Procedures for Liquidation of Mutual Funds dated 3 August 2009: “Clause 11/1 In case of force majeure that causes incomplete liquidation within
documents in full according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or
presentation of the investment amount and the gains from loss of control in subsidiaries. In addition, the information disclosed in its Q2 and Q3/2017 financial statements were incomplete and ambiguous, which is
instigator or an abettor, etc.; (5) the complicated nature of the act or the tool used in committing such act, such as using a disguised name of other person or establishing a company for concealment, etc.; (6
respective markets toward sustainable growth. The SEC also rendered stronger cooperat ion with the ASEAN in developing working systems of respective markets toward the same direction to streamline complicated