personnel related to the capital market or supervision of the capital market, 3) enhance knowledge and understanding about the capital market, investments and capital market development for investors
had to pay redundant expenses without the knowledge of the undisclosed information of such conflicts of interest, both before and after investing in such foreign funds; (3) failing to
” seminar’s morning session involved a lecture given by, SEC Deputy Secretary-General Sirivipa Supantanet, to provide knowledge about the capital market which can be accessed by business operators and
increasing the speed and caution for the enforcement process as well as promoting cooperation for human resources development, sharing of knowledge and technological know-how to ensure justice in the
aims to address this issue by facilitating intermediaries? creation of innovative service channels and provision of wealth advice, product knowledge and understanding for potential investors to create
The MOU reaffirms mutual intention to promote and support provision of pools of knowledge for listed companies and regulated entities under the SEC supervision to enhance their awareness of the
The objective of the project, which is organized for the second year in continuation from 2022, is to give financial support for development of necessary knowledge and skills for women, who have
by not using knowledge and expertise as professional.In case of {B}, the SEC received a complaint from client of a brokerage firm that {B} had sent trading orders through client's account without
/LawsandRegulations/securities-ITchecklist.xlsx QAQR-06.xlsx institution, insurance, construction, digital assets) obtain/maintain the required specialist knowledge? Does the firm have special training/or tailor-made
ความเสี่ยงสูงหรือมีความซับซ้อน เช่น (2.1) ให้ข้อมูลเพื่อให้ลูกค้าเข้าใจลักษณะและความเสี่ยงของตราสาร รวมทั้งมีการเตือนถึงความเสี่ยงที่เกี่ยวข้อง (2.2) จัดให้มีการทดสอบความรู้ของลูกค้า (knowledge test