and selling investment products through different channels. • Check and keep transaction records to confirm they are accurate and genuine. • Use a licensed/regulated financial service provider
within the scope of the regulator’s statutory authority, while considering all relevant factors. 3 Statement of Intent (2017) 4. Strategic priorities To achieve the legislative intent, the SEC’s vision
provided in the market. Independent external reviews may vary in scope and may address a green, social, sustainability and sustainability-linked bond framework/ programme; an individual green, social
early action 10 70% How well are Thai companies accounting for emissions? Confidential. Do not distribute. 61% 34% Reported Scope 1 emissions only Reported Scope 1+2 emissions Reported Scope 1+2 and at
threshold ................................................................................................... 9 Scope of emissions
Taxonomy Excel Table). The activities that are present in the list may qualify as green, amber or red while others will be included into the Out-Of-The-Scope category (must be separately marked as such). In
obtain ACMF Pass and carry out investment advice which are permitted activities under the MOU in Host Jurisdiction. This handbook set out the guidance on ACMF Pass by: 1.2.1 Explaining the scope of
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
Regulation (EU) 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market
recognition of funds arrangement between Hong Kong and Thailand (“Thai Master Fund”). (m) “Hong Kong Management Company” means a corporation which is licensed or registered for Type 9 regulated activity (asset