investment management companies while achieving the appropriate right balance between regulatory flexibility and investor protection. At the same time, investors are offered money market funds as an
, with regard to risk management and investors’ protection. The proposed regulatory revision may not be perfect yet, but it’s the start for businesses to move forward. SEC is willing to learn together
investors’ protection against fraud, SEC-approved offer of digital tokens does not guarantee success, prices or returns of fund-raising projects. Investors may suffer losses or find limited choices in
offering shares or convertible debentures for sale in a private placement in the same manner as the SME case while specifying more measures for investor protection. For example, a business must seek the
business operators. This is because such unlicensed activities do not come with legal protection, and the investing public is exposed to the risk of falling victim to scams. It should be noted that all
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
preparation to comply with new regulations. In addition, the SEC will introduce measure for investor protection by requiring distribution of fact sheet to investors describing key features and risks associated
opportunities and mutual benefits of capital markets from the growth of emerging Asia and to be more focus on intermediaries? roles for better investor protection. Vorapol Socatiyanurak, SEC Secretary-General
Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of