experience, for example, education, employment record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international certified
international standards such as UN SDGs. Additionally, fact sheets and prospectuses of SRI Funds are downloadable from the ESG Product Platform for the convenience of interested individuals. The SEC
1.6 million sheets per year, accounting for 39 tons of carbon dioxide exhaustion. This paperless process could also save operating costs such as printout delivery, electricity and document storage by
electronically file an application through the OFAM system without having to submit hard copies to SEC. The move is expected to save 1.6 million sheets of paper per year, or equivalent to 39 tons of carbon
Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk
safekeeping of additional documentation of such business operations. The key points of the proposed amendments are as follows: (1) DA operators would be required to keep records related to the
without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions
that meet additional criteria. The draft revision aims to streamline the PO application procedures for the offeror who has no records of inappropriate corporate governance practices and whose shares are
operating time and 1,645,764 sheets of paper use. The completed 15 projects consist of five intermediary business and exchange projects, four asset management business projects, three fundraising projects