of instruments while intermediaries and selling agents must have in place the procedure to ensure their clients? understanding of associated investment risks and returns before making investment

of protection.  Sales conduct of intermediaries will also be revised to ensure that selling of products is suitable for investors? risk-taking capability. 1. Offering of unrated bonds and high yield

investment to deal with legitimate business operators only to ensure proper legal protection.  To protect yourself, please check list of licensees at the SEC?s website (www.sec.or.th) while list of companies

. Selling agent must comply with specified criteria, for example, selling agent must examine investor?s characteristics before offering for sale of the product to ensure that the offer has been made to

. Moreover, business conducts for debt securities underwriter will also be relaxed to allow the underwriter to subscribe and be allocated the underwritten securities but measure to ensure that transparent

to ensure that borrowers will be able to repay debts even at times of asset price fluctuation;             ? Company risk: in analyzing a company?s performance, sources of profits should be clearly

ensure compliance with respective laws and developing capital markets of the two countries.  The MoU, signed by SEC Secretary-General Vorapol Socatiyanurak and SECC Director General Ming Bankosal, aims at

include rule revisions to require SEC approved auditors work for audit firms having audit quality control system and inspections to ensure the quality assurance of audit firms? procedures both firm and

investing in target date funds to ensure that they will not outlive their savings. Meanwhile, as the retirees should efficiently manage their retirement savings, post retirement funds will be a well-responsed

information that every company has to prepare to respond to inquiries from the investing public. We need to review the quality of MD&As to ensure they have illustrated essential information correctly