services and they will proactively contribute to the campaign by, for example, screening and selecting prominent mutual funds suitable for long-term saving and investing, providing consultation and advice on
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
alternative assets. ▪ In case of the ARFP Fund without specifying its investment limit in equities, the risk level should be in accordance with the actual asset allocation of the fund. For example, if the fund
limit in equities or alternative assets, the risk level should be in accordance with the actual asset allocation of the fund. For example, if the fund invests mainly in equities, the risk spectrum should
the actual asset allocation of the CIS. For example, if the CIS invests mainly in equities, the risk spectrum should point toward level 6. In addition, if the CIS adjusts the investment proportion