business operators. This is because such unlicensed activities do not come with legal protection, and the investing public is exposed to the risk of falling victim to scams. It should be noted that all
of protection. Sales conduct of intermediaries will also be revised to ensure that selling of products is suitable for investors? risk-taking capability. 1. Offering of unrated bonds and high yield
preparation to comply with new regulations. In addition, the SEC will introduce measure for investor protection by requiring distribution of fact sheet to investors describing key features and risks associated
opportunities and mutual benefits of capital markets from the growth of emerging Asia and to be more focus on intermediaries? roles for better investor protection. Vorapol Socatiyanurak, SEC Secretary-General
Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of
regulations will be amended to support the conversion which will be beneficial to investors and facilitate the private sector?s investment expansion without compromising investor protection,? concluded Mr
facilitate existing agricultural futures business operators to continually provide services on agricultural commodities futures traded on TFEX. Meanwhile, investor protection will not be compromised and
protection. Once informed of the incident, the SEC hastened to coordinate with all related parties domestically and internationally. The solution concluded from the meeting is of investor focus and will help
enhance client asset protection in line with international standards. The revision would allow the companies to manage client assets by (1) depositing or investing in certificates of deposits (CDs) issued