The Securities and Exchange Commission (SEC) hosted an online workshop under the CyberXpert Academy for Capital Market 2025 Initiative for personnel working In IT security or cybersecurity (1st line

transactions even though the client did not come to the trading room to order the transactions herself to earn compensation at a higher amount than she should have actually received. {A}’s acts were deemed as

and mechanism for risk management, readiness of work systems and personnel, analysis and selection of digital assets to invest, and investment tracking tools, etc. Listed companies should also consider

of the PF business to replace the present fixed and detailed regulations. The scope of amendment includes, for example, corporate structure, personnel readiness, fees, investment management, prevention

appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness

details, that cover several issues such as personnel readiness, investment management, receiving and delivery of funds’ assets and risk management.SEC has studied the supervision in other countries and

operators in the capital markets who plan to apply fintech must comply as follows: (1)    Set a policy on fintech application at board or executives level; (2)    Have personnel understand the basic

for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012.

suspending {A}, an employee of Kiatnakin Securities Co., Ltd. and {B}, an employee of Phara Securities Plc. and also revealing {C}'s inappropriate behavior.  The SEC found from its routine inspection that {A

attempt to promote derivatives market development. The plan followed the Cabinet?s recent approval for inclusion of silver and platinum on the SEC list of 14 approved goods and variables under the