understanding; (5) provide additional warning that high-risk or complex capital market products are different from plain vanilla products; (6) inform clients about the risk which may arise from service or
information on the high-risk or complex capital market products for clients’ better understanding; (5) provide additional warning that high-risk or complex capital market products are different from plain
investors? best interest. This regulatory revision is part of the SEC?s three-year strategic plan to improve the overall market ecosystem regarding capital market product governance. The key points of
One of the objectives of the Thai capital market development plan is to enable the public to access and utilize the capital market for savings and investment purposes. SET has taken steps to
Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the
investors’ complaints as well as an arbitration process to offer investors and market participants an alternative to settling their disputes. In recent years, additional efforts have been made in different
all sectors of the capital market, namely the Association of Thai Securities Companies (ASCO), the Association of Investment Management Companies (AIMC), the Thai Bankers Association, the Association of
Bangkok, Jul 14, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board has approved the revisions of rules on filing for equity offering by Thai
listed companies more funding flexibility while maintaining the ability to meet the targeted fund; and 3. Revise the market price calculations, which are inconsistent due to different criteria for