. • High Frequency Algorithmic Trading Technique is typically not a strategy in itself but the use of very sophisticated technology to implement traditional trading strategies. • Order book: a list of

.......................................... 38 Table 16. List of activities not in compliance with the present taxonomy ............................ 58 Table 17. Do No Significant Harm table and criteria

same ground. There is also potentially confusing differences and overlap between the SEA and PLCA. In spite of wide spread training and awareness raising, market participants may not always fully

obtained from reliable sources to support a high quality credit rating. 1.4 A CRA should avoid issuing credit ratings for entities or obligations for which it does not have appropriate information, knowledge

2021. Ms. Naovarat Chantavanich obtained a bachelor’s degree in political science (public administration) from Thammasat University, a master’s degree in public administration from Chulalongkorn

debt securities and mutual funds 1 Obtained a bachelor’s degree. ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA

Financial Reporting 5. Transactions and Trends 6. Audit risks related to audit firms 1. Economic Environment Oil and gas prices : impacting not only oil and gas companies but also others with significant

on Investment Analysis on Technical Factors (5) Knowledge on Ethics of Investment Analyst 1 Obtained a bachelor’s degree. Local or foreign organization for a total period of at least 1 year during the

the penalties under Section 296 of the SEA, i.e., up to two years? imprisonment or a fine not exceeding twice the amount of the benefits received or should have been received but in any case no less

SEC requires that the number of attending non-practitioner members must be greater than the number of attending practitioner members and must not have any relationships to or any interests in cases