suspicious and defective in many aspects. For example, (a) the investment consultant who affixed the signature in the requisition form for share transfer from client account was not the investment consultant
clients. In addition, a certain share transfer from a client account was found to be suspicious and defective in many aspects. For example, (a) the investment consultant who affixed the signature in the
@sec.or.th. The public hearing ends on 11 May 2026. Note:* For example, depositary receipts (DRs) referencing foreign crypto ETFs, and cases where securities companies facilitate investments in foreign crypto
CRA should avoid issuing credit ratings for entities or obligations for which it does not have appropriate information, knowledge, and expertise. For example, where the complexity of a security or the
the success of public offering and listing (For example - “firm commitment offering” or “best efforts”). If the underwriter has a material relationship with the issuer, disclose the nature and terms of
issuer’s financial statements. For example, the information could include such items as: net sales or operating revenues; income (loss) from operations; income (loss) from continuing operations; net income
Appendix B of HK-TH MRF MoU; - Regarding the disclosure requirements imposed on Covered Funds including, for example, preparation of prospectus and annual report of mutual funds, etc., and the regulations
; · Regarding the disclosure requirements imposed on Covered Funds including, for example, preparation of prospectus and annual report of mutual funds, etc., and the regulations related to sales conduct, HK-TH
, and pushing forward the role of the Thai capital market as CLMV (Cambodia, Laos, Myanmar and Vietnam) springboard to promote mutual sustainable growth in the region by, for example, launching the