, inappropriateness, or deficiencies in performing the duties. FAs may resort to information from a specialist, having verified that the person is truly knowledgeable and competent in that field. FAs shall have a
are one of the key drivers of transactions in the capital market. Hence, they are obligated to adhere to professional ethics and be knowledgeable in the area of good corporate governance in order to
Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are knowledgeable, capable or experienced and who are
knowledgeable, capable or experienced and who are beneficial to the undertaking of the derivatives brokerage business in a sufficient number to accommodate the undertaking of the derivatives business in an
information had to be publicly disclosed through the SET's Electronic Information System within 30 November 2017. However, PACE has failed to meet the original deadline because the company would like to seek
publicly disclosed through the SET’s Electronic Information System within 30 November 2017. However, PACE has failed to meet the original deadline because the company would like to seek further opinions from
Zipmex Company Limited During April 7, 2022 to July 19, 2022, Zipmex Company Limited ("Zipmex"), a digital asset exchange and a digital asset broker, did not fully disclosed necessary
the SEC Office and the SET on March 27, 2015 and March 30, 2015 respectively. The annual registration statement incompletely disclosed the information on Management Discussion and Analysis: MD&A and