of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection
date to consider arranging an extraordinary shareholders meeting for the election of new directors to fulfil the quorum requirement in accordance with Section 83 of the Public Limited Companies
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
relevant documents and then immediately order to sell the entire fund from the account. {D}, on the other hand, agreed to make whole to the client by compensating all loss incurred from that unauthorized
providing services to clients with loyalty while applying knowledge and skills with discretion as professional. In the case of SKFM, SEC ordered the company, a small-sized asset management company whose
development in five key areas as follows: 1. Wealth Advice for All: To support providers of financial advice and financial planning in delivering accessible and good quality services to the public, and to
responsibilities of a public company before raising fund in the capital market. The panel also suggested that digital technology should be used more extensively for the benefit of capital market development
Pursuant to the amended regulatory sandbox regulations, which will take effect on 16 August 2020, more types of businesses are eligible to participate in a regulatory sandbox, covering all
stability. Considering that lack of skill and awareness in financial management has been found in individuals at all levels, collaboration to elevate financial knowledge is needed from all sectors to
risk management. SEC subsequently conducted a public hearing on the approved principles during the months of April and May 2020 to which all respondents agreed with the principles for amending the repo