securities which come with high application fees and do not answer the need of business operators who wish to provide specific services. The SEC has therefore revised the Ministerial Regulation on Securities

Re: Rules in Detail of the Work System and Management of Mutual Funds for  Institutional Investors or Ultra-High Net Worth Investors, dated 1 February 2019.**  Regulatory Guillotine is the

. For example, high-risk transactions related to clients’ assets would be subject to AAL2.1** while other transactions would be subject to AAL1**.  The consultation paper is available at www.sec.or.th

who is able to provide consultation to investors on capital market products not having complex characteristics as well as the product having high-risk or complex characteristics.  

investor by way of providing sufficient information for decision making and to reduce risks due to a high number of senior retail investors.Furthermore, the meeting also discussed important issues related

any country or any sector. For example, a higher-than-80-percent concentration in any sector would represent high risk. In addition, a risk warning statement would have to be printed on the cover of

legal requirement on minimum face value of debentures may be too high and hinder retail investors to access debt markets, or the prohibition of set-off can cause unnecessary procedures and fees to issuer

income from business operation due to the high interest rate of 14-15 percent per year according to the loan contract. Such facts caused the GL financial statements to be in contravention of Section 56 of

-price matching for the trading activities within their own group. Such transactions misled other investors into believing that TAPAC shares were traded in high volume and its price was changed. As a

โอกาสของการระดมทุนแบบยั่งยืนในภูมิภาคอาเซียน (High-Level Roundtable on Green Finance Opportunities in ASEAN) ในหัวข้อบทบาทของผู้กำหนดนโยบาย ร่วมกับผู้บริหารระดับสูงจากหน่วยงานต่าง ๆ ที่เกี่ยวข้องจาก