development of new products with more complexity which requires additional criteria; for instance, structure of return on investment and warning of complex features and significant specific risks associated

ratio summary of the mutual fund via Form 123-2 attached hereto; (5) Total fees, compensation and expenses collected from the mutual fund and unit holders via Form 123-2 attached hereto; (6) Warning on

อยกวา 25 ลานบาท 2. การเปลี่ยนแปลงระดับ early warning สําหรับบริษัทหลักทรัพยและกําหนดระดบั early warning สําหรับผูไดรับใบอนุญาตเปนตวัแทนซื้อขายสัญญาฯ 2.1 กรณีบริษัทหลักทรัพย แกไขระดับ early

by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i] communication with or providing services to a client , [ii] any warning or [iii] signing acknowledgement or

knowledge on financial, investment, and deposit protection, as well as to raise caution of investment scams. The topics covered deposit protection, the “Three Knows” (Know Oneself, Know Others, Know Own Risks

warning of possible breach of investment terms in the redemption form.Given that the redemption was ahead of the five-calendar-year holding requirement to be eligible for the LTF tax benefits, {A}'s failure

อนุญาตให้เสนอขายตราสารหนี้ที่ออกใหม่ต่อประชาชนเป็นการทั่วไป ลงวันที่ ๒๓ กันยายน พ.ศ. ๒๕๖๕ “(๔) อยู่ระหว่างถูกตลาดหลักทรัพย์ขึ้นเครื่องหมาย C (Caution) หรือมีคำสั่งห้ามซื้อหรือขายหลักทรัพย์จดทะเบียน

after the criminal complaint has been filed.  The public and investors should exercise caution when using services from unlicensed digital asset businesses as they will not be protected under the

Srimachand, SEC Deputy Secretary-General, said: “The SEC urges the event organizer to exercise caution when allowing unlicensed business operators to set up booths at the event, including platform service

investment decision carefully. For example, Notice Pending (NP) in case of awaiting material information, or Caution (C) in case a listed company has the characteristics as prescribed in the governing