out guidelines and put in place a variety of tools such as risk monitoring and management as well as preventive measures such as investor education to help address these issues. There is also a forum

capital that reflects risks associated with custody of clients’ assets and helps bring good risk management. Net capital (NC) requirement will be applied for the digital asset businesses. Such digital

company must upgrade its operating system and risk management systems to support the additionally approved securities classes. The consultation paper is available at www.sec.or.th/hearing

to alleviate the risk of frauds.Moreover, it is advisable to be cautious when being solicited to invest in ICOs or to buy any digital token for the time being since there are neither approved ICO

and guidelines for overseeing risk management and management of digital wallets and keys as well as communication to clarify such policy, action plans and procedures, work supervision and internal

because such unlicensed activities do not come with legal protection, and the investing public is exposed to the risk of falling victim to scams. The SEC also warns the exhibition organizer to be cautious

สภาพการเปลี่ยนแปลงดังกล่าว จึงปรับปรุงเกณฑ์ใหม่โดยกำหนดให้ขนาดของเงินกองทุนแปรผันตามความเสี่ยงของธุรกิจ โดยเฉพาะอย่างยิ่งความเสี่ยงด้านปฏิบัติการ (operational risk) ซึ่งจะแปรผันตามขนาดและปริมาณการประกอบ

having medium to high risk level without  principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete

underwriter and client in that it will provide securities underwriter with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for client. The revised

own low risk exposure. In addition, such requirement may be inconsistent with the business types or the business risks of intermediaries, and may not support the development of new businesses that make