each client and the total investment money of all clients generated from service provision (if any). (4) specifying a period of participating in the regulatory sandbox to be no longer than one year as
at the management level regarding the Environmental, Social, and Governance (ESG) agenda 2. Strategy: Integrate ESG into business strategies and define frameworks for sustainable finance to support
line with the United Nations Guiding Principles on Business and Human Rights (UNGPs) and integrate HRDD throughout the value chain. This also emphasized ethical recruitment practices to manage risks and
notification which has been revised according to comments from the business operators and related persons from the public hearing in May, for example: - The operation system shall have in place a client
นางพรอนงค์ บุษราตระกูล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) พร้อมคณะผู้บริหาร ให้การต้อนรับ Mr. Paul Moody Global Partnerships and Client Solutions, CFA Institute
transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s trading account into her mother?s account for her own benefits. Such share transfer was prearranged
operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as
control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as well as