the case of giving advice by individuals or investment experts or in the case where a website or electronic media collects or processes data and publishes data, there is, therefore, an issue of
intermediary, the SEC needs to disclose relevant information to the persons involved and for the intermediary to clarify or take a necessary action; ● Any complaint whose main issue is under supervision of any
regulate country’s financial system, issue regulations and control financial institutions, circulate banknotes, supervise international money transfers, and monitor exchange rate of Thai Baht against foreign
issue orders relating to the value of transactions; (3) In case where a company or any of its subsidiaries disposes of all of its assets or substantially all of its assets used in the normal course of its
REGULATORS 1. Maintenance of records 2. Scheduled or surprise audits involving site visits to firm headquarters 3. Follow-up investigations for complaints BUT DOES NOT ADJUDICATE 4. Issue sanctions
corporate governance issue relative to a single nation (hence, total 14 issues spanning 14 nations). • Attempt to encompass in each nation a family-firm representing one of 4 categories (i.e., tightly held
-based wealth is easier to spend on blockchain-based assets. Advantage #2 Most blockchain-based metaverses issue their own cryptocurrency which can be used to purchase assets. → direct linkage between one
securities company filing such application has qualifications as specified in Clause 1 and Clause 2, the SEC shall recommend the Minister to issue securities business license within ninety days from the date
issue securities business license within thirty days from the date of receiving application together with complete and correct supplementary documents. The Minister shall complete his consideration for