Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to

yet started saving money for their retirement. Furthermore, financial behavior survey indicated ?5 Lacks? as follows: (1) Lack discipline to track  spending that caused the household debt rose to 83% of

, and the facts of the case reasonably show that the act leading to the lack of qualifications or the possession of prohibited characteristics of such person is not so severe to the extent of preventing

respect to derivatives” means an important computer system or network system relating to trading services with respect to derivatives under Clause 8(1) and (2), a lack of continuity of which would

– (a) the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer

EARTH's requests for extension of the repayment period, which led to EARTH's lack of liquidity. Subsequently, on 2 June 2017, Mr. Phipat granted permission to a brokerage firm to sell EARTH

auditor fails to have the qualifications in compliance with Clause 7; (2) the foreign auditor has a behavior that indicates a lack of professional ethics or violates or fails to comply with the

extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer, if any; and (d) the legal advisers to the

information related to provision of services as a derivatives clearing house sufficiently to the extent that members or their clients, or any involved persons understand risks from use of the services, and

to operate businesses regarding such products;(5)   Those products above may lack of liquidity for trading with cash or other productsIn addition, the Monetary Authority of Singapore (MAS) has