underwriting, including any selling agent; (6) “patron’ means a person who patronises the issuer, for instance, clients, suppliers, employees of a conglomerate company or joint venture; (7) “SEC Office” means
, including any selling agent; (6) “patron’ means a person who patronises the issuer, for instance, clients, suppliers, employees of a conglomerate company or joint venture; (7) “SEC Office” means the Office of
, utilize Open Data for user benefits, integrate ESG aspects into intermediary businesses for analysis and investor recommendations, and support responsible business operations. Additionally, coordination
SEC Secretary-General Ruenvadee Suwanmongkol said, "Under the current global situation that technology and user behavior has changed dramatically, which may come with cybersecurity risks, SEC has
, more user-friendly format for informing investors of key features, investment policies and associated risks, while giving investment consultants a more convenient tool for giving advice and selling units
? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
approved person shall take the following actions during the period of operation: (1) compiling and assessing the information of the service user for the following purposes: (a) to know the service user; (b
following actions during the period of operation: (1) compiling and assessing the information of the service user for the following purposes: (a) to know the service user; (b) to categorize the service user
procedure for providing services by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information in order for the service user to choose a service or make an
rules: (1) having a procedure for providing services by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information in order for the service user to