-General Rapee Sucharitakul, said, “Digital assets are useful to the public as a fundraising tool and are the medium for exchange. However, as they are high-risk assets, the market is for those who are
Microsoft PowerPoint - Discussion of risks for auditor Discussion of risk ฝ่ายกํากับบัญชีตลาดทุน 2 agenda 1. Economic Environment 2. Political Environments 3. High Risk Industries 4. Specific
Public Hearing System :: สำนักงานคณะกรรมกำกับหลักทรัพย์และตลาดหลักทรัพย์ แบบสำรวจความคิดเห็น Hearing Home การอนุญาตให้จัดตั้งกองทุนรวมตราสารหนี้ที่มีความเสี่ยงสูง (High Risk Fixed-Income Fund
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products and high-risk or complex products, i.e., derivatives, high-risk or complex of
. The public should be aware that Tradenance Incorporation Limited is not on the SEC approved list or under the SEC supervision.Recently, there have been solicitors for investment in high-risk products
the quality risks in Acceptance and Continuance of Client Relationships and Specific Engagement element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1
securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and