. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees
probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client
and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the
contain the stipulations indicating the features of the fund as follows: (1) being a close-ended fund except when the redemption is clearly specified in the fund project provided that the management company
documents of the fund applying for approval of establishment shall contain the stipulations indicating the features of the fund as follows: (1) being a close-ended fund except when the redemption is clearly
เติมพบว่า {ก} ไม่แจ้งหลักเกณฑ์ Volatile Stock ซึ่งเป็นข้อปฏิบัติเกี่ยวกับข้อมูลความเสี่ยงของหลักทรัพย์บางหลักทรัพย์ และภาระหน้าที่ในการชำระเงินค่าซื้อหลักทรัพย์ดังกล่าวให้ลูกค้าทราบก่อนที่ลูกค้าสั่งซื้อ
of by unfair business operations. However, other types of risks are also present, such as business risks of entities and the risk due to volatile prices of digital assets.Lastly, “Knowing SEC’s
speculative businesses. Debt to equity ratio should not excessively increase because volatile situations may affect cycle and amount of expected cashflow; ? New business investment risk: it is not