transition of a digital capital market, (3) Review market microstructure to align with trading behaviors and ensure fairness across investor types, and (4) Facilitate foreign investors’ more convenient use of
countries around the world. A large number of investors have become targets of these scams, which are increasingly sophisticated and widespread, often spreading through platform service providers. Recently
services. This is to ensure that such capital market personnel can provide appropriate advice and useful information to investors. Meanwhile, the Prof. Link platform will further facilitate license renewal
regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units
the government or securities regulator. “market maker” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net
trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units. “major participating investor” means any person specified in the ETF
sufficient information before making decisions to trade EARTH shares during the temporary trading period on 1 July 2019 as allowed by the SET, the SEC views it necessary to disclose the information above
the product and receive sufficient information before making investment decision. Intermediaries must comply with know your customer/client due diligent rule and request investors to take suitability
entrust any person to perform the duties throughout the entire operation process as it may lead to corruption. Clause 8. A securities company shall maintain sufficient security system to prevent
risks can be divided into 2 parts, which are risk on liquidity and risk from interest rate. The Company Group may have risk on liquidity from the problem of sufficient and timely working capital provision