พึงประสงค์ซึ่งเกิดขึ้นกับผู้ประกอบธุรกิจและส่งผลกระทบในวงกว้าง   (2) ปรับกำหนดเวลาการจัดส่งรายงานผลการประเมินระดับความเสี่ยงตามแบบ RLA (Risk Level Assessment) และรายงานผลการตรวจสอบด้าน IT เป็นช่วงเวลา

higher risk level in buying financial products with a higher risk than the client’s risk profile. SEC has considered the case and viewed that Somchai had behaviors with dishonest implication, affecting the

analyzed and put into good use by SEC to ensure that customer received the appropriate level of protection.  The amendment of this regulation is part of SEC’s Regulatory Guillotine* project. The objective

level of strictness of the regulations governing the issuance and offer for sale of debt securities varies depending on the types of investors. For example, the regulations on a private placement to

engagement quality reviewers (EQR) of listed companies must have competence, capabilities and authority at a level not less than auditors in the capital market who audit listed companies. In the event that an

มหาวิทยาลัยฮาร์วาร์ด สหรัฐอเมริกา Mr. Lim Tuang Lee ประธาน IOSCO Board-level Fintech Taskforce และ Assistant Managing Director (Capital Markets) ของ Monetary Authority of Singapore (MAS) และ Ms

region.?? ------------------Notes: 1. The ASEAN Capital Markets Forum (ACMF) is a high-level grouping of ASEAN securities regulators established under the auspices of the ASEAN Finance Ministers in 2004.2

periods. Additionally, the comparative study on mutual fund performance amongst ASEAN countries demonstrated the highest level of performance persistence in Thai equity funds. Chanchai Mateepithaktham, the

Bangkok, November 23, 2012 ? The SEC will host the Asia-Pacific Regional Committee Meeting of the International Organization of Securities Commissions or ?IOSCO APRCMeeting", a high-level discussion

service sectors in the capital market. The SEC has closely monitored the situation and consistently cooperated with related parties to keep informed of the impact level, consider relaxation of rules to help