Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel

& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk

Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter    Executives of securities companies and personnel in securities business |- Approval and

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Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology

The SEC has reviewed the regulations concerning the SPO shares offering and the mai/SET listing requirements for LiVEx-listed companies to better accommodate small and medium-sized enterprises and

business. This also includes requirements related to information security audits and the qualifications of the auditor who must be qualified and independent;  (3) Revising the requirements and guidelines in

sort out the training and renewal requirements during the social distancing period. In this regard, fund managers, derivatives fund managers, investment analysts, investment consultants and investment

confidential business secret is deemed performing duties dishonestly and betraying investors? confidentiality.  Investor contacts are key capital market personnel who have direct and close contact with investors

: Clause 1. The following Notifications shall be repealed: (1) Notification of the Securities and Exchange Commission Re: Requirements relating to Accounting of Securities Company dated 18 May 1992; (2