starting from relatively low risk securities to products that are more complicated. This allows investors and business operators time to test the water, sharpen their skills and make adjustments in

indicated impressive improvement in terms of audit manuals and audit programs for most of the audit firms. Nonetheless, more emphasis on some areas is needed, such as planning and risk assessment as well as

of the accounts. The requirements aim to better reflect actual financial status and debt repayment capability of every client thereby enhancing securities companies? risk management and thus preserve

decision, for example, maturity date, type of fund, investment policy, risk factors and performance. For advertisement on group of mutual funds where it is not practical to provide all significant

directly relevant to its core business, for example, preparation of research report, risk management or mutual fund and private fund management which must be in compliance with specified conditions. For

comprises Strategy and Planning Department, Research Department, Market Supervision Department, International Relations Center and Enterprise Risk Management Center. Assistant Secretary-General Duangmon

the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk

investors to make use of CRA information and rating to evaluate credit risk of targeted instruments more efficiently and confidently,? said SEC Secretary-General Vorapol Socatiyanurak.

addition, certain conditions may cause disadvantage to the company. Besides, the company has no manifest business plan after selling out its core assets, putting the company at risk of having operating loss

conform to risk diversification specified under the investment plan. The APC program will nurture the participants to be capable of effective provident fund monitor. All provident fund committee members are