Guidelines, which cover the following key points: (1) To reduce the submission frequency of IT audit reports suitable for the risk level of small business operators and low-risk business operators to every
., institutional and high net worth investors, to enhance competitiveness of asset management companies and diversify choices of investment for investors with higher risk tolerance. The draft revision aims to allow
visiting SEC booth at SET in the City 2013. Presented under the theme ?SEC Investment Academy?, the SEC booth this year will be a source of knowledge for new investors. The visitors can start learning their
public at a financial technology exhibition held at a shopping center. The SEC thus conducted an on-site investigation to collect evidence. Today, the SEC and the ECD inspected the exhibition booths at the
).. (.% ' #6'0 " #1 - +#-! < = &' current value ). (in $ at the money) .&. +#-! +#-!"% '$ ' current value ).. (.% ' # "+3- ).. J0%0" # 'R )" # general market risk 3 specific risk "" 4 : " # General market risk
securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and
supervision and risk assessment of intermediaries and the monitoring of industry development, to prevent excessive burdens on securities and derivatives intermediaries.The proposed revision covers the reporting
and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposal, the capital requirements imposed on those business operators will better reflect operational risk
alternative for provident fund? for the provident fund committees. The seminar schedule is set for two rounds on May 28 and June 25, 2014 from 9.00 ? 12.00 hrs. at 1601 meeting room, SEC Office on Viphavadi