of duty performance to seek wrongful gains; (3) requiring the employees to notify the intermediary in the case where the employees and their connected persons have an account for trading capital market

guidance on how corporates and/or investors report against ESG guidelines. Several jurisdictions also have regionally specific stewardship codes. While Europe and the UK are leading the way with requiring

2 No. Question Answer (a) Form 69 – CIS full (requiring fund factsheet, prospectus, and registration statement); (b) Evidence demonstrating that Hong Kong Covered Fund is legally established under the

make sure that the clients would open a separate trading account from a traditional one and prepare service agreements and comply with the existing rules on work systems and professional duties.In light

, effective from 17 March 2020. Investors are strongly advised to thoroughly check and make sure that the evidence of all transaction records, both buy and sell sides, is genuinely issued by the banks or the

case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents

associated with digital assets.   The SEC recommends that anyone interested in trading digital assets study information and all associated risks carefully and make sure that they are capable of accepting the

after the issuer has become a listed company. SEC Secretary-General Ruenvadee Suwanmongkol said: “SEC always emphasizes the importance of information disclosure of listed companies to make sure that

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% ABBC, AGIX, AMPL, BNB, CEL, CTXC, GFT, GTC, HEX, HIGH, JASMY, LDO, LTO, NOIA, PHA, RNDR, SURE, TIME, TRB, VGX, WEMIX, YFII 3 50% AVINOC, META, REV, XTN 4 75% XRP 5 100% สินทรัพย์ดิจิทัลที่ไมไ่ด้มีรายชื่อ