security of systems related to digital asset custody, which could cause significant impacts on clients’ assets. The regulations have taken effect since 16 January 2023. Pursuant to the transitional

type of lawsuit, e.g. steps, procedures, and time frame to be taken, types of cases that may be requested for a class action, litigation expenses, and proportion of settlement compensation to be

into the encountered problems and obstacles, which in turn can be taken into account for the formulation of and improvement in the supervisory directions and mechanisms for further development of the

, agencies, companies or related parties. When such fraudulent schemes are found, suggestions for deterrence actions to be taken include issuing investor warnings through the organization’s web site(s) and

baht. Thus, this would be considered an inappropriate price. In forming the opinion on the said matter, the IFA has also taken into account related expenses that may incur if the acquisition is not

' securities trading orders. All of them admitted that the unrecorded orders were taken via mobile phone. The SEC therefore suspended them from duty as approved investment consultant for one month. For {F} and

Niran's employment, taken legal action against him and paid a compensation for the affected client.?

shares at the acquired price on the same trading day was not new and was taken into the Sub-Committee?s consideration.  The Sub-Committee?s opinion therefore remains unchanged. In addition, the fact that

their professional ability to give appropriate information to investors. In making appropriate adjustments and enhancing practicality for the industry, the SEC has taken into consideration comments and

to her advice. {C} also failed to record her giving of investment advice and accepting of securities trading orders from many of her clients. {C} admitted that the unrecorded orders were taken via