, more user-friendly format for informing investors of key features, investment policies and associated risks, while giving investment consultants a more convenient tool for giving advice and selling units
appropriate amount of paid-up registered capital by taking into account the nature of business and associated risks can lighten the burdens of intermediaries, especially small-sized securities companies or
Under the amendments, SEC has proposed to lift the limitations on unitholding which bar any person or any associated person from holding investment units in a mutual fund over one third of the
, volume, complexity and range of businesses and services as well as associated risks. Zipmex is required to fully comply with the order within three days as from the date on which the SEC notifies the
funding portal operation and suitability test in order to mitigate fraud risks and ensure that investors will be informed of risks associated with investment in SMEs, in particular startups, and liquidity
benefit from realization of investment in associated company by equity method. {A}'s action was deemed as using inside information in such a way as to take advantage of other persons in violation of
“Embracing Generative AI : Exploring Its Organizational Potential and Navigating Associated Risks from Key Stakeholders’ Perspective” (2) ฝึกอบรมภาคปฏิบัติ ภายใต้กิจกรรม Generative AI Governance และ กิจกรรม
2024 annual compliance reports. In this front, reporting of any non-application or unfinished application of the recommended guidelines shall be accompanied by the explanation of the associated
respondents supported the proposal for amending the advertising rules, which contains key points as follows: (1) Revoking the requirement for notifying details of each advertisement and the associated
business operations. Meanwhile, the current regulations on such criteria has not yet covered risks associated with custody of clients’ assets for the digital asset business operators who can access into or