overview of the investment process, which may differ by product, client mandate or market conditions. *Note: The concept of “dynamic materiality” was first introduced by the World Economic Forum (WEF) in
. ----------------------------- Notification of the Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and
Notification of the Capital Market Supervisory Board Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an
Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Issued: January 2019 Updated
technical regulation; (2) damage caused by such [unlawful] act which, in general, shall be considered from- (a) level of damage to financial or capital market or client or any other person; (b) damage
order to stimulate or reward the client to immediately [i] use offered services or [ii] invest in capital market products presented by the intermediary. “institutional investor”6 means an institutional
order to stimulate or reward the client to immediately [i] use offered services or [ii] invest in capital market products presented by the intermediary. “institutional investor”6 means an institutional
function, internal audit, or risk management, in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business; “client” means user of
function, internal audit, or risk management, in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business; “client” means user of
) derivatives trading by the client has or may have an impact on the orderly trading of the derivatives exchange, or has caused or may cause the trading price to deviate from normal market conditions; (b) the