debt instruments (surveillance report – on a monthly basis)) ✓ ✓ 1. Database of SET Smart (the summary of trading and important statistics on debt instruments and bonds from the Stock Exchange) 3

therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020.  SEC emphasizes the importance for investment consultants

suspended the approval for {A} as an investment consultant for complex instruments type 1** for nine months and 22 days, effective from 22 April 2020. Investors are strongly advised to be cautious and

plan with proper instruments; (4) monitoring and adjusting investment proportion in according to acceptable risks and investment targets; and (5) reporting the overall investment of customers. If

worth and higher risk-taking capability (non-retail investors). The qualified investors will be allowed to invest in complex instruments suitable for their risk profile while receiving appropriate level

public or instruments in which a fund plans to invest without the need to apply for an investment advisory license. The services provided by the said foreign CRAs are, however, limited only to permissible

financial instruments and put in place effective regulations to ensure compliance, fairness, and prevent exploitation of stakeholders. As the market became more developed, new products were introduced and

information to PVD members;          (2) To establish liquidity risk management policy for PVD: Requiring AMC to have liquidity risk management policy and tools (LMTs) for PVD, similar to the LMTs guidelines

and facilitate the submission of various reports and data;           - Providing capital market information through SEC Check Tools Initiative, an investment resource hub for the public. These tools

Bangkok, 25 February 2019 ? The SEC is seeking public comments on the proposed rules for intermediaries to provide assisting tools to asset allocation and investment planning. This would allow