Professionals > Financial Advisor Regulations SHARE : Detail Content Financial Advisors A Financial Advisor (FA) has a crucial role in selecting and screening qualities of companies to be listed in the
Dialogue ...................................................................................... 16 Building Trust Is Critical for Effective Engagement
strategies for the development and promotion of duties and self-discipline within securities companies – a critical responsibility for everyone, including the board and management, customer service, risk
deployment of critical technologies and adaptation strategies as well as changing market and consumer behaviours. Changing magnitude and nonlinear dynamics Climate-related risks may manifest at different
management of information technology systems as well as the security of the information system is an essential issue in order to prevent the risks that may occur from cyber threats. Therefore, SEC has
The Securities and Exchange Commission (SEC) organized a dynamic training program to enhance essential knowledge and investment insights for financial trainers. SEC Secretary-General Pornanong
Limited ("1000X") of transactions occurring with 5,000 wallet addresses on its website, https://www.1000x.live ("1000x.live"). This system was essential for the successful operation of
Notification. “ critical function ” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
investment fund, 5) notional value* of derivatives denominated in currencies of the foreign investment fund, and 6) mark-to-market** profit and loss denominated in currencies of the foreign investment