secure, effective and efficient IT practices and IT usage in businesses. The update would also include requirements related to the information security audits and the qualifications of the auditor who must

save and invest earnestly in order to meet life goals and have comfortable and secure retirement. The SEC always takes an active role to promote financial literacy for people from all walks of life

Introduction & Overview 1 Monica Bae Regional Lead, Capital Markets CDP SEA & Oceania CDP is a global environmental impact non-profit working to secure a thriving economy that works for people and

, associated risks, criteria for returns payment and redemption, expenses and tax benefit conditions before making any investment decision to make sure that they would be entitled to receive benefits and would

other past behaviors demonstrating inappropriateness for acting as capital market business personnel.  Investors are strongly advised to always verify transaction confirmation documents to make sure

 to make sure that the personal data management is compliance with PDPA by creating Data Governance Policy and Guidelines for personal data protection management throughout the data life cycle

accounts regularly to prevent other persons from using the accounts to trade securities without the investors’ authorization. Besides, transaction conformation documents must always be monitored to make sure

make sure that they are truly issued by the banks or the asset management companies in charge, and to update their fund books (if any) in the following business day to prevent damage that may be caused

share < 60% / Tracking error ≥ 4%) E. Not sure. 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 0% 2% 4% 6% 8% 10% 12% Active style diagram (2017) Below 1.61 1.61 - 1.9 1.9 - 2.19 Above 2.19 Diversified stock

clients or proceed as per their requests. If the clients do not claim their assets, Zipmex must deposit them in a trusted and secure system to protect the clients’ interests.   Due to its failure to