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
in analyzing the appropriateness of these ratio, they should be considered in tandem with the volume of audit engagements of that firm, e.g., number of audit client, size, and complexity of audit
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