เนื่องจากหลักเกณฑ์การติดต่อและให้บริการลูกค้าของ บล. สำหรับการเสนอขายผลิตภัณฑ์ที่มีความเสี่ยงสูงหรือมีความซับซ้อน (risky/complex product) ยังไม่ครอบคลุมถึงการให้บริการ NC bond ก.ล.ต. จึงปรับปรุงหลัก
bonds. The SEC has therefore amended the governing rules with the following key points: (1) Specifying NC bond as a high-risk or complex capital market product; (2) Requiring the offering of NC
The SEC regulations for SLB issuance and offerings, effective since 16 May 2021, aim to support diversification of financial product types that address sustainability issues and align with the SEC’s
alignment with the product risk. These proposed requirements are in line with regulatory practices applicable to both securities and digital asset business operators. Accordingly, the SEC is conducting
personnel for a period of five years, starting from 4 August 2020.In case of deciding to buy an investment product at a place which is not the service provider’s office, investors are advised to avoid
strongly advised to thoroughly check and make sure that all receipts or evidence of payment are issued by the companies in charge. In case of making an agreement to buy an investment product outside the
who is able to provide consultation to investors on capital market products not having complex characteristics as well as the product having high-risk or complex characteristics.
securities (securities company and commercial bank with securities underwriting license) know individual client before selling client any product through suitability test. The test will be beneficial to
advisors as well as knowledge enhancement of securities firms and investor contacts regarding product features and clients? risk profiles. Meanwhile, the SEC is promoting investor education to help investors