employees providing advice to the investors in order to prevent conflict of interest in respect of advice provision;4. The wealth advice service providers who are securities brokers may automatically
Bangkok, January 18, 2012 ? The Capital Market Supervisory Board has resolved to revise the rules on custody of client assets by securities companies and derivatives brokers ("the companies") to
ใต้การกำกับดูแลของ ก.ล.ต. (จำนวนรายการที่พบ 189 รายการ) ชื่อ ประเภท วันที่เปิดเผยข้อมูล ข้อมูลอื่นที่เกี่ยวข้อง TIGER BROKERS SINGAPORE ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า 31/03
regulators and audit firms discuss initiatives to raise audit quality and market transparency in the region supervision (i.e., listed companies, brokers, dealers, asset management companies and collective
ASEAN audit regulators and audit firms discuss initiatives to raise audit quality and market transparency in the region supervision (i.e., listed companies, brokers, dealers, asset management companies
or not, are exempted from obtaining digital asset business licenses. Additionally, digital asset exchanges, digital asset brokers, and digital asset dealers are prohibited from providing services
Master Agents (MAs) and sub-agents, MAs’ employees, and FSMART affiliated companies’ employees. These target customers have a business relationship with the Company and shall yield significantly lower
| - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology | - |- Business Continuity Management (BCM) | - |- Port Investment of Derivatives Agents
for investment in unapproved digital assets ’ decision making; (4) None of the intermediaries or selling agents under the SEC supervision have been licensed to undertake digital asset businesses; (5