Office. This case is in the process of inquiry by the inquiry official. SEC Act S.33 Criminal Complaint Filed with an Inquiry Official Dated 29/09/2022
inappropriate acts have been committed and consequently subject to correction measures such as SEC order of financial statements rectification, and SEC warning for the shareholders to exercise voting rights. The
; Educating and warning investors to ensure they have sufficient knowledge for decision making and exercise discretion when being solicited to invest in unlicensed or illegal businesses. SEC and Investors Be
ของ early warning ใหสะทอนคาความผันผวนของเงนิ กองทุนที่ตองดํารง และนยิามของหนี้สินพเิศษที่ไมตองนาํมารวมในการคํานวณเงินกองทุนสภาพคลอง สุทธิ ดังนั้น เพื่อใหบริษัทหลักทรัพยและตัวแทนซื้อขายสัญญาฯ
Questionnaire No. Particulars Firm's Reference /Guidance Notes Description 1 Does the audit firm design and implement the risk assesment process that includes the identification of quality objectives
SHARE : SEC public hearing on proposed amendments to the digital asset business licensing process and draft regulations concerning creditability of digital asset business operators Tuesday 9 January 2024
information different from registration statement in the filing /not implying or guaranteeing returns (excepted for projection figures), and entailing warning statements of risks. Investments Investments in
rules governing dispute settlement between retail investors and intermediaries to adjust the arbitration process in line with the current economic environment, international standards and relevant laws
procedures to promote long-term investment and saving through long term equity fund (LTF), reforming the IPO subscription process to ensure fair accessibility for all investors, as well as continuing to
undertaking digital asset businesses wherein experts from CMKL University gave advice on how to improve the process for considering applications and granting digital asset business licenses. The