violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the
and selling investment products through different channels. • Check and keep transaction records to confirm they are accurate and genuine. • Use a licensed/regulated financial service provider
)Direct firms become more tied and sensitive to Bitcoin. Implications Stock market: more regulated and protected Crypto market: scams and frauds The stock market offers a somewhat safer opportunity to
. Insider trading is prohibited and other types of self-dealing and conflicts of interest are regulated. The SEC actively monitors the market for abusive practices. Institutional investors regularly vote
January 2016. Clause 4 In case an intermediary being [i] financial institution which is regulated by the Bank of Thailand or the Office of Insurance Commission or [ii] state enterprise under Ministry of
institution which is regulated by the Bank of Thailand or the Office of Insurance Commission or [ii] state enterprise under Ministry of Finance’s purview has already had independent director in accordance with
derivatives fund managers being a financial institution regulated by other agencies; “electronic data” means data that are created, sent , received, stored or processed through electronic procedures
Fund 13) Units of the Hong Kong Covered Fund will be offered/marketed/distributed in Thailand by the following intermediaries who are licensed or regulated by the SEC Thailand: Asset Management Company