to complete the transactions. The client had given prior consent to her act claiming it was inconvenient to affix signature in person at the time. Despite no intention to conceal information in the
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
monitoring the business operations and for a proper investment making-decision in a reasonable period of time. In addition, SEC has issued a guideline on information disclosure for listed companies
an emphasis on key warnings, and (2) requiring a test of investors’ knowledge before first-time investment to assess investors’ investment suitability, which can be used as a tool for the seller to
, for example, direct transfer to the service provider’s account or electronic payment receipt channel. In any case, temporary payment receipt slip must be kept as evidence every time a payment is made
/reverse repo agreement regulations.The public hearing this time is on the regulations drafted in accordance with the approved principles to accommodate repo/reverse repo transactions of securities
persons shall not be in aggregation at a time greater than one third of the total sold units of a mutual fund. Such limitations on unitholding are to ensure that investment units are widely allocated to
manager. This gives involved parties, including numerous capital market business personnel, sufficient time to make necessary preparations within this year. “SEC is confident that personnel in capital
Currently, investors are usually required to provide a lot of information each time they request services from an intermediary and must repeat the process via different forms when using services of