เรื่อง การดํารงเงินกองทุนสภาพคลองสุทธิ ประกาศคณะกรรมการ ก.ล.ต. ที่ กธ. 66/2547 เรื่อง การดํารงฐานะทางการเงินของผูไดรับใบอนุญาตเปนตัวแทนซื้อขายสัญญาซื้อขายลวงหนา 2. การกําหนดระดับ early warning เกณฑป
Asset Advisor, Digital Asset Fund Manager, and Custodial Wallet Provider. In this regard, it is important to ensure that licensing process effectively screen the readiness and qualifications of the
). Moreover, audit firms will be enabled to screen quality of their auditors prior to filing with the SEC the applications for approval as capital market auditors in order to encourage the audit firms to take
-redemption rate must be accompanied by the following statements: (a) in case of mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due
under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return as
electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past
other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past performance of (specify the name of the fund) is not indicative of future performance
mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return
In this regard, the SEC reiterates its warning to DA business operators to fulfill their duties in safeguarding clients’ digital assets in accordance with established criteria, with a primary