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
ever-growing asset management business by, for example, relaxing several requirements. In so doing, appropriate investor protection is maintained, and more investment choices promoted.? Such amendments
such solicitor to ensure proper legal protection. A list of licensees is available at the SEC?s website (www.sec.or.th) while a list of those not licensed by the SEC can be viewed under ?Investor Alert
regulations will be amended to support the conversion which will be beneficial to investors and facilitate the private sector?s investment expansion without compromising investor protection,? concluded Mr