Investor Return – Mind the Gap ©2015 Morningstar, Inc. All rights reserved. Kittikun Tanaratpattanakit Investor Return – Mind the Gap Agenda 2 gBackground g The Real Test is Whether Investors Succeed
. However, the SEC will continue monitoring relevant developments, supervision, and actions in various aspects to ensure that effective investor protection measures will be in place before further developing
for equity crowdfunding. Furthermore, in the case of ICOs, imposing the aggregate limit would not be an effective investor protection mechanism. This is because it would be very difficult to enforce and
expects the companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives, the Office has prescribed guidelines for renewal of
contact, solicit or advise their customers, the Office expects the companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives
proposed to enhance investor education and effective disclosures. 14 Survey on the profile, trading experience and knowledge level of investors Investor education on SFC’s website - www.InvestEd.hk
Director or Executive, but not the position of Manager, of the securities company prior to the effective date of this Notification shall continue to be Category A investor contact and perform the duties of
Director or Executive, but not the position of Manager, of the securities company prior to the effective date of this Notification shall continue to be Category A investor contact and perform the duties of
Effective CEO and People Management) หลักปฏบิตั ิ5 ส่งเสริมนวัตกรรมและการประกอบธุรกิจอย่างมีความรับผิดชอบ (Nurture Innovation and Responsible Business) หลักปฏบิตั ิ6 ดูแลให้มีระบบการบริหารความเสี่ยงและการ
study and recommending guidelines to (1) improve taxation systems, and (2) improve investor protection through effective cross-border dispute resolution mechanism and enforcement