concerning the capital market products set out in item 3.2.1(1). 1 The product contains specific features that are complex and are likely to be difficult for investors to understand and to assess the product’s
SEC Secretary-General Ruenvadee Suwanmongkol said that SEC has organized a panel discussion as an academic stage, aiming people to understand the background of “Libra” and which of its parts
17021 Train-the-Trainer Program Training, accreditation and regular CPD events Assurer Training and Accreditation Program UNDP-DUKE IMM for the SDGs - free Coursera online self-directed training course
. Rulemaking is a tangible start for all parties involved in any particular matter to self-adjust in order to achieve respective goals, and subsquently strengthen market credibility, balanced market ecosystem
course of operation; (b) seek information on the source of income used for executing the client’s transactions; (c) arrange for the client or the ultimate beneficiary to identify oneself to the official of
client or the ultimate beneficiary to identify oneself to the official of the intermediary; (d) assess the efficiency of the Know-Your-Client and Due Diligence measures imposed on financial institution
persons, for example, seeking or exploiting any benefit for oneself, securities companies or other persons by virtue of own position or committing a fraud in an examination. Division 2 Effects of Possessing
shall apply unless a waiver is granted by the SEC Office: (1) in the case where the cause of inability to sign signature is the result of unconsciousness or inability to control oneself owing to physical
reliability of personnel in the capital market business in a significant manner or [ii] a collusion or supporting such demeanors of other persons, for example, seeking or exploiting any benefit for oneself