University INTRODUCTION • What is the effect of regulatory jurisdiction on the behavior of financial actors? Specifically, investment adviser misconduct? • Setting: Dodd-Fank re-jurisdicts “mid-size” RIAs in

responsive to the different needs of market participants without unfairly advancing the interests of any particular group to the disadvantage of others;  Promptly deal with identified issues and misconduct

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

INVESTOR CONSIDERATION #1 23 Quality of diversity Family influences INVESTOR CONSIDERATION #2 24 Look out for news of misbehaviours Misconduct of family members INVESTOR CONSIDERATION #3 25 Return of capital

of submitting application to the SEC Office: (a) having been finally sentenced for misconduct as specified in sub clause (3) in case of juristic person; (b) having been finally sentenced to

Kong and the ongoing supervision of SFC-authorised funds. As a statutory body, the SFC’s regulatory objectives and functions are defined and governed by the Securities and Futures Ordinance. The SFC’s

การได้ต้นเดือน ก.ค. 67 ก.ล.ต. และ SET จะติดตามผล มีการทบทวนมาตรการ ให้เหมาะสมกับสภานการณ์ ขอให้มั่นใจว่า พฤติกรรม การกระทำผิดในลักษณะ misconduct จะดำเนินการ อย่างเข้มงวด และระดับความรุนแรงของความผิดจะ

Translation) Page 2 of 4 and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the company; (3) prepare the

person with knowledge (Unofficial Translation) Page 2 of 4 and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image

ownership plan (ESOP)) who received the highest IPO share allocation, along with relevant information on their eligibility as prescribed in the prospectus Monitor the SET’s operation on an ongoing basis