and sharing knowledge among the EU and Asia-Pacific authorities. The forum has continued to prove its worth as an exemplary platform for cross-regional discussion and cooperation, especially as we
that those personnel must be equipped with knowledge, capability and approved by the SEC. The business operators must apply necessary assessment procedures to ensure that their investment consultants
following additional conditions for ICO portal recognition? An ICO portal shall: 4.1) have a system to test retail investor’s suitability and investment knowledge on ICO before retail investor commits to an
Pursuant to the MOU, SEC and TGO will cooperate in sharing knowledge, communicating and giving advice to listed companies, securities issuers or business operators under SEC supervision regarding the
transaction is an appropriate and beneficial to the Company on a long- term basis, and no disagreement to the Company’s Board of Directors has been raised by the Company’s directors and/or the audit committee
สิ่งที่ส่งมาด้วย 3_ตัวอย่างแบบฟอร์มการประเมินความรู้ความสามารถในการลงทุน (knowledge assessment) สำหรับการลงทุนในผลิตภัณฑ์ในตลาดทุนที่มีความเสี่ยงสูงหรือมีความซับซ้อน
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Analyst on Technical Factors No. Work Experience/ Relevant Knowledge Qualifications Work Experience Related to
disposition of Planet’s ordinary shares transaction is an appropriate and beneficial to the Company on a long-term basis, and no disagreement to the Company’s Board of Directors has been raised by the Company’s
: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their financial position and investment knowledge. In addition, the company failed to take sufficient measures
financial position and investment knowledge. In addition, the company failed to take sufficient measures to identify the clients and the true beneficiaries and did not reconsider appropriate credit lines for