Microsoft Word - public hearing-complex&ACMF08082018 เอกสารรับฟงความคิดเห็น เลขที่ อจต. 33 /2561 เร่ือง รางประกาศการแกไขหลักเกณฑเก่ียวกับการออกและเสนอขายตราสารหน้ี และการเปดเผยขอมูล ครั้งที่ 2

Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment

property and water investments; and will also facilitate the issuance of bonds from issuers who would otherwise find it difficult to gain recognition for their low carbon investments. The goal is to attain a

program for auditing difficult and complex areas, staff training limited to theoretical lectures and lack of case study on issues requiring professional judgement and professional skepticism, particularly

were sufficient and effective as a quality control measure. In today’s complex business environment and with even more complicated business transactions, sufficient supervision by highly experienced

come in various and complex forms and cast widespread impacts on the business and public sectors, as seen in frauds taking place globally, involving fabrication of financial statements and corrupted acts

+ Time value 𝑆 − 𝐾 for call option 𝑐ℎ𝑎𝑛𝑐𝑒 𝑜𝑓 𝑆 − 𝐾 𝑏𝑒𝑓𝑜𝑟𝑒 𝑒𝑥𝑝𝑖𝑟𝑦 Too complicated for or misunderstood by naive investors. Fixed at issue and then guided when trading by Brokerage

concerning the capital market products set out in item 3.2.1(1). 1 The product contains specific features that are complex and are likely to be difficult for investors to understand and to assess the product’s

information technology. As such, the audits of complex entities encountered obstacles and needed assistance of experts in the field. The SEC, as a result, invited technological experts to instruct and share

have laws about this already” – Agencies are staffed by lawyers, not software engineers – Enforcement is very, very difficult • When regulation comes to crypto, it will likely be voluntary, driven by