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

for repayment from 1 year to 2 years at the original interest rate and the condition to the withdraw the was comfortable 6 8. Opinions of the Audit Committee and/or the Directors of the Company having

for repayment from 1 year to 2 years at the original interest rate and the condition to the withdraw was comfortable 6 7. Opinions of the Audit Committee and/or the Directors of the Company having

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

. 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

)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

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