custody without the objective of custodial service business as in the case of DA issuers who provide custody of self-issued DA to their clients. The SEC therefore views it is appropriate to revise the
investment in derivatives traded on foreign derivatives exchange without limiting investment objective, providing that the investment must be made through securities company. The revised regulations aim to
debentures and share warrants, to be in line with those governing other securities. The objective of this revision is to facilitate fundraising of business operators while protection of shareholders? rights
questions cover personal data, financial status, financial knowledge and experience, investment objective as well as risk appetite and willingness to take risks. For instance, it may be the case that young
investment in (i) the companies in such employer?s group and (ii) investment units of mutual funds and trust units of trust having main objective to invest in the assets of employer?s assets and the companies
investors in line with the Capital Market Development Master Plan?s objective which aims to promote quality and diverse financial products comparable to those in the regional markets. To be eligible for SET
-Money Laundering Office (AMLO) signed the memorandum of understanding with objective to enhance effectiveness of collaboration on supervision over securities business operator to prevent and suppress
make sure that they are truly issued by the banks or the asset management companies in charge, and to update their fund books (if any) in the following business day to prevent damage that may be caused
other past behaviors demonstrating inappropriateness for acting as capital market business personnel. Investors are strongly advised to always verify transaction confirmation documents to make sure
accounts regularly to prevent other persons from using the accounts to trade securities without the investors’ authorization. Besides, transaction conformation documents must always be monitored to make sure