counterparty or providing the system or facilitating a person who wishes to trade or exchange digital assets to be able to enter into an agreement or match the order, in the normal course of business, excluding
counterparty or providing the system or facilitating a person who wishes to trade or exchange digital assets to be able to enter into an agreement or match the order, in the normal course of business, excluding
Rule Making Process SHARE : Detail Content 1. Assess the importance of matters 2. Study international supervisory measures and standards 3. Conduct regulatory impact assessment: Analyze the
following: The Thai Bond Market Association The Association of Thai Securities Companies The Association of Investment Management Companies Regulatory Summary The provisions under Trade Association Act
the audit adjustments of listed companies for the year ended 2018 financial statements QAQR Questionnaire The Firm's Risk Assessment Process Governance and Leadership Relevant Ethical Requirements
company shall propose an investment policy appropriate for the clients after an assessment of their investment objective, investment experiences, financial status, financial obligations, investment
company shall propose an investment policy appropriate for the clients after an assessment of their investment objective, investment experiences, financial status, financial obligations, investment
) Group 2: Constituting an unfair advantage over investor by exploiting the inside information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses
) Group 2: Constituting an unfair advantage over investor by exploiting the inside information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses
Questionnaire) กระบวนการประเมินความเสี่ยงของสำนักงาน (The Firm's Risk Assessment Process) การกำกับดูแลและผู้นำ (Governance and Leadership) ข้อกำหนดด้านจรรยาบรรณที่เกี่ยวข้อง (Relevant Ethical Requirements) การตอบ