changing market environments.The proposed key changes include (1) adjustment of position risk calculation, (2) inclusion of diverse financial instruments such as equity, debts, investment units and trusts in
well as significant events after offering for sale of the aforesaid financial instruments, and would prescribe organization of annual meetings in a similar way as required of listed companies. This is to
therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
sustainability-themed financial instruments and innovations, and a capacity building program on implementing the Taxonomy, etc. The meeting was convened at the SEC Building on 25 January 2024.
notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments between October 1, 2018 and
notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments between September 20, 2019
investors to open trading account for securities, derivatives and other kinds of financial instruments with Saxo by advertising, soliciting and using website www.home.saxo/en-sg or www.saxomarkets.com.sg
securities, derivatives and other kinds of financial instruments with Saxo Capital Market Pte.,Ltd. by advertising, soliciting and using website www.home.saxo/en-sg or www.saxomarkets.com.sg without
trading account for securities, derivatives and other kinds of financial instruments with Saxo Capital Market Pte.,Ltd. by advertising, soliciting and using website www.home.saxo/en-sg or
for securities, derivatives and other kinds of financial instruments with Saxo Capital Market Pte.,Ltd. by advertising, soliciting and using website www.home.saxo/en-sg or www.saxomarkets.com.sg