segregating the unit of trading function from the unit responsible for defining factors for product selection. 6. Implementing a renumeration structure that does not tie up solely to sales KPI, for the
representatives of the class members in proceeding with the case in Court. The judgment of the Court shall have the consequence of binding the parties and the members of the class. The plaintiff or the counsel for
consequence of binding the parties and the members of the class. The plaintiff or the counsel for the plaintiff shall also have the power to proceed with the execution of the case for the plaintiff and the
, accordingly, cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising out of or in connection with its use. SHARE : For More Information ContactUs Legal
supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
general obligatory characteristics between the parties, "agreement on securities borrowing and lending made in connection with undertaking securities borrowing and lending business under the first paragraph
under Clause 3(5) and (6); (3) be able to show that its working capital will be sufficient to cover its projected expenses incurred in connection with business operation as specified in the SEC’s