ปฏิบัติตามหลักเกณฑ์เกี่ยวกับการติดต่อและให้บริการลูกค้าในผลิตภัณฑ์ที่มีความซับซ้อนหรือมีความเสี่ยงสูง และอธิบายถึงสถานการณ์เชิงลบอย่างมากที่สุดที่อาจจะเกิดขึ้นได้ (worst case scenario) ให้แก่ลูกค้าเพิ่มเติม

be given based on clear and accurate information. With uncertainty, investment analysts? view must cover both best and worst case scenarios, to prevent investors? unreasonable expectation. For listed

Thienhom, SEC Deputy Secretary-General said that "In case of using customer trading order report in substitution for order ticket, the document must be prepared according to the SEC circular No. SEC.Thor

Forum of Independent Audit Regulators (IFIAR), updates on audit regulatory initiatives, audit inspection findings and case studies in respective jurisdictions. Urgent issues in relation to shortage of

, report on offering result and periodic reports must be filed with the SEC after closing period of offerings. In case of private placement, more relaxed regulations will apply.?Debt securities have gained

. However, to ensure smooth operation of asset management companies and existing property funds, the companies may set up a new property fund and, in case of existing property funds, issue new units so as to

report, the SEC probed into the case and found that the said companies and persons, without obtaining license under Section 90 of the Securities and Exchange Act B.E. 2535 (SEA), jointly operated

lodged by client and examination report of RHB OSK Securities, the SEC further probed into the case and found that {A}  traded securities on behalf of a client of {B}. {B} was a {A}'s subordinate and took

Limited while the misconduct occurred. Following the inspection report of Tisco Securities Company Limited, the SEC further probed into the case and found that Napat submitted a number of securities and

misconduct occurred. Following the inspection report of Globlex Securities Company Limited, the SEC further probed into the case and found that {A} convinced a client to trade securities and derivatives. He