any actions where conflicts of interest may arise, such as soft commission, related party transaction, proprietary trading and staff dealing. In addition, effective risk management system for

probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client

and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the

instruments, depending upon the customers? risk appetite. Licensed underwriting firms will be permitted to underwrite overseas financial instruments in Thailand while other licensed business operators will be

indebtedness. Under the said circumstances, the debt securities holders may expose to legal risk that would restrain them claiming on the assets of overseas headquarter. Thus, the SEC proposed to amend the rules

and borrowing needs, (2) provide investors with additional choices as the fund will be divided into tranches with different levels of risk and return, and (3) ease the problems of capital inflow and

) and infrastructure fund. Besides, savings and several types of life insurance will be introduced while visitors can try playing risk explorer game. Entrepreneurs finding fund source are also welcomed at

efficiency and practicality for the industry. On the salesperson side, the focus will be to enhance quality by recategorizing sales licenses according to levels of risk and complexity of the products. The

, which would help the visitors assess their risk tolerance before choosing financial products accordingly.  Visitors are also welcome to participate in the SEC quiz games on the capital market and

trigger fund rules require that intermidiaries disclose clear information with regard to commission fees, product features and risk warnings. For example, the information that the trigger point is not a