supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
complicated, and for the most part the existing laws do not cover all new ways of committing an offense in the capital market. Legal provisions applied to some cases are unclear and open to interpretation
company. Integrated business reporting should be in a form that investors can reasonably be expected to understand. For example, complicated technical terms should be explained and care should be taken to
fund of which the returns calculation is made in a complicated way (complex return fund); (d) investment units of a mutual fund of which the fund's net exposure in commodities is made through its
Commission concerning Additional Rules for Mutual Fund Investing in Derivatives and Credit Linked Notes; (c) investment units of a mutual fund of which the returns calculation is made in a complicated way
center on September 27, 2023.The SEC conducted an onsite inspection and gathered evidence in this regard, reaching out to the event organizers and urging them to cooperate and cease the participation of
, which had been operating business by virtue of the Transitional Provisions of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018), must cease operation; however, to ensure proper proceeding
failing to maintain NC to immediately cease the business operation and transfer the customers’ assets to other business operators in order to limit effects on the customers and stability of the capital
, conduct of business, and cease of doing business. The proposed will allow the over-the-counter center to provide exchange service or securities and digital token having substance like securities. In