and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the
Download data Number of Active Professionals Classified by Type of Companies Download data Number of Personnel perform duties in the capital market business Download data Dataset/Statistic report No. Report
เติมพบว่า {ก} ไม่แจ้งหลักเกณฑ์ Volatile Stock ซึ่งเป็นข้อปฏิบัติเกี่ยวกับข้อมูลความเสี่ยงของหลักทรัพย์บางหลักทรัพย์ และภาระหน้าที่ในการชำระเงินค่าซื้อหลักทรัพย์ดังกล่าวให้ลูกค้าทราบก่อนที่ลูกค้าสั่งซื้อ
analysis and decision-making processes 2 We will be active owners and incorporate ESG issues into our ownership policies and practices. 3 We will seek appropriate disclosure on ESG issues by the entities in
important to potential investors because it offers insight into the company's stock volatility. Stocks with small free float tend to be more volatile because there are only a limited number of shares that can
of by unfair business operations. However, other types of risks are also present, such as business risks of entities and the risk due to volatile prices of digital assets.Lastly, “Knowing SEC’s
held this workshop, where knowledge and experiences would be shared for the purpose of active and swift operation, such knowledge include, collecting and inspecting evidence, procedures regarding
most recently, the Growth and Emerging Market Steering Committee. The SEC has placed importance and played active roles in various IOSCO projects and implementing the IOSCO principles and standards. The
Meeting 2/2019 held in Japan in October 2019. This opportunity reflects once again the confidence of the international regulators in SEC Thailand as the IOSCO APRC host, thanks to our active
conflicts of interest and prioritise advancing the best interest of clients. Principle 3: Make informed investment decisions and engage in active ongoing monitoring of investee companies. Principle 4: Apply