having medium to high risk level without principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete
level without principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete and accurate information in
โอกาสของการระดมทุนแบบยั่งยืนในภูมิภาคอาเซียน (High-Level Roundtable on Green Finance Opportunities in ASEAN) ในหัวข้อบทบาทของผู้กำหนดนโยบาย ร่วมกับผู้บริหารระดับสูงจากหน่วยงานต่าง ๆ ที่เกี่ยวข้องจาก
สิ่งที่ใช้ยืนยันตัวตน (Authenticator Assurance Level: AAL) สำหรับธุรกรรมเสี่ยงดังกล่าวเป็นมาตรฐานขั้นต่ำอยู่ที่ระดับ AAL 2.1* ส่วนธุรกรรมอื่นกำหนดขั้นต่ำอยู่ที่ระดับ AAL 1* ทั้งนี้ ก.ล.ต. ได้เผยแพร่
the relevant regulation*. The SEC is also proposing to stipulate a minimum Authentication Assurance Level (AAL) for clients’ online transactions via the company’s system based on associated risks
with customers’ asset safekeeping. This is to allow the general public to reap standardized services, while business operators are under proper supervision, in the same level with supervision on
partnership between the SEC and the SET at the policy making level, after which the meetings for management and operating staff levels will be followed. The SEC and the SET are committed to working together
accounts preparers and chief executive officers (CEO) of listed companies. This joint effort would further enhance public confidence in the capital market.?The SEC will focus on enhancing the level of
Mr. A did not consent to bring an end to the case at the SEC level, the SEC therefore decided to send a letter to the prosecutor to file a civil lawsuit against Mr. A and press for civil sanctions
company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and readiness to undertake the duty, and (4) Execute the duty by taking into consideration the benefits of