) specified by the regulation. Net Capital Rule (NCR) The SEC applies the " net capital rule ( NCR )" approach, where securities and derivatives businesses are required to maintain “ net capital ( NC
markets, over-the-counter trading center and other service providers for transactions in the capital market. “Capital market supervision,” therefore, is primarily the supervision of market participants
markets, over-the-counter trading center and other service providers for transactions in the capital market. “Capital market supervision,” therefore, is primarily the supervision of market participants
Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE : Detail Content Group 1: Information disclosure that may cause damage to investors and capital market 1.1
Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE : Detail Content Group 1: Information disclosure that may cause damage to investors and capital market 1.1
สำคัญต่อผู้ประกอบธุรกิจตัวกลางอย่างไร Biodiversity บทบาทของ ก.ล.ต. กับความหลากหลายทางชีวภาพ และกระบวนการ The Leap Approach โทเคนกลุ่มความยั่งยืน 1 | 2 | 3 | 4 ศูนย์บริการประชาชน ก.ล.ต. ศูนย์
Investment) Founded in 2006 with the support of UN, PRI is an approach to investment that encourages investors to use ESG as a factor for investment. Principles covering six chapters and currently the most
Investment) Founded in 2006 with the support of UN, PRI is an approach to investment that encourages investors to use ESG as a factor for investment. Principles covering six chapters and currently the most
Securities Trading Practices Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Business
Documents of Eveidence 1 ● Unauthorized use of a trading account by investment consultant ● Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ● Full