market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their
investor contacts who play vital roles in the capital market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
choose investment strategies that better suit their investment needs and risk profiles and also to urge employees to proactively acquire knowledge on financial products in the capital market. Expected
unethical but also subjected to legal actions. The SEC requires all staff to strictly follow the code of ethics. Moreover, they must attend the ethical training course to ensure their clear understanding and
à¸Łà¸²à¸£à¸²à¸⁄ทุà¸fiสมà¸ıà¸±à¸Łà¸´à¸£à¸§à¸¡ 19-10-18 (P23 P43).pdf Qualifications of the Applicant for Approval as ASEAN Investment Analyst No. Work Experiences / Relevant Knowledge
i CORE COMPETENCIES FRAMEWORK ON FINANCIAL LITERACY FOR INVESTORS 3 2. CORE COMPETENCIES FRAMEWORK ON FINANCIAL LITERACY FOR INVESTORS 2.1. The Framework A. AWARENESS AND KNOWLEDGE, i.e. can B
. Furthermore, the SEC shared knowledge and insights on new developments related to the financial reporting preparation to promote relevant stakeholders’ up-to-date knowledge and understanding of the latest
- Expanding knowledge of staff The SEC pays special attention to the regular development of capacity and knowledge for its staff. This is to ensure that they have sufficient professional knowledge to discharge
, employs a proper internal control system, and establishes an efficient and effective risk management system. To perform such roles, the audit committee, therefore, needs adequate knowledge and understanding