) issuance. The revision will require DW issuer to provide a so-called ?fact sheet? which is a investor-friendly description of securities? key features, specific characteristics and risks. Fact sheet must be

(DW) issuance. The revision will require DW issuer to provide a so-called ?fact sheet? which is a investor-friendly description of securities? key features, specific characteristics and risks. Fact

proposal aims to provide adequate mechanism to support the upcoming liberalization of securities business and promote new financial products which the business operators may expose to compliance risk

of information for making investment decision, for instance, factors which impact return, risk factors and risk spectrum will be shown in the first part of prospectus.The consultation paper is

securities company or derivatives broker for damage or loss incurred to client?s money and the business operator will be required to calculate value of instruments or securities in which client?s money are

scope of every five percent report to cover financial instruments issued by others, which entitles the holder to convert or demand delivery of securities issued by listed company, e.g., derivative warrant

gold futures, due to the cancellation of such license, will be upgraded to the precious metals derivatives license which will enable them to operate business in a wider range. The SEC Board, with the

was completed. The company?s financial statements, accordingly, contains unclear item as to reasonableness of the said transaction which may affect the benefit of securities holders and investment

would facilitate widespread IPO share distribution and prevent concentration and possible supply control, which are some factors that could lead to price manipulation.The consultation paper is available

clients' assets.  In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the