shoulders higher costs for issuers, especially expenses for external review, compared with regular debt instruments.The consultation paper is available at https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID

addition, clients should be given more than one choice of fund, and intermediaries should follow up on clients? investments on a regular basis and keep clients informed of changes for clients? benefits

, regular review of documents and evidence on one?s own investment portfolios sent from the responsible intermediaries is another way to protect one?s own assets.? ______________________ *Clause 20(1) of

professionals and also strictly perform the audit oversight on a regular basis and in line with international standards. 

accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts

channel management per the scope and conditions set by the BOT. Commercial banks are required to annually submit a service channel strategic plan and a report on their service channels to the BOT

Given to Commercial Banks to Act as Identity Provider or Source of Data in the Digital Format, effective from September 4, 2018. The regulation extends the business scope of banks which show readiness in

and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be

personnel of the policies and the practices as well as a procedure for continuous and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance

review function made up of one or more senior managers responsible for conducting a rigorous, formal, and periodic review, on a regular basis pursuant to an established t credit rating methodologies