information Symbols or statements shall be specified at the top of the first page of the factsheet in the following cases: 17.1 In case of a mutual fund with high risks or complexity in accordance with the

at the top of the first page of the factsheet in the following cases: 17.1 In case of a mutual fund with high risks or complexity in accordance with the Notification Re: Rules in Detail on

นักงาน ก.ล.ต. Millisecond: (1/1,000) of a second Algorithmic Trading (AT) High Frequency Trading (HFT) Regulatory Framework Landscape ที่เปลี่ยนไปน ามาซึ่งความท้าทายในการก ากับดูแล 20 Complexity of trading

case of a mutual fund for investors that is a provident fund: “For provident funds” shall be specified. 18.3 In case of a mutual fund with high risks or complexity in accordance with the Notification Re

financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings

CRA should avoid issuing credit ratings for entities or obligations for which it does not have appropriate information, knowledge, and expertise. For example, where the complexity of a security or the

providing falsified information to the SEC Office, etc.; (6) complexity of nature of action or tools used in action, for instance, using other people name or establishment of disguised company, etc.; (7

effectively. It must comprise at least 5 directors and should not be more than 12 directors, depending on the company’s size, type, and complexity of the business.  ​​3.1.3  The proportion between executive

account of nature, scale, quantity, complexity and diversity of businesses and services, as well as acceptable level of risks relevant to such businesses and services. 2 In case where any material change is

and sufficiency as stipulated under the first paragraph, it shall be taken account of nature, scale, quantity, complexity and diversity of businesses and services, as well as acceptable level of risks