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intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with https://publish.sec.or.th/nrs/5726pe.doc การดำรง
send an email to sawarin@sec.or.th. For paper comments, please send them to: The Intermediaries Policy Department, the Securities and https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8149 SEC
and skills in capital market services (digital literacy), and strengthen consumers’ defenses against scams, fraud and cybercrime. This helps investors protect themselves and equips them with tools to
suggestions and took them into consideration when reviewing the proposed regulations. The SEC is therefore soliciting public comments on the proposed regulations and relevant draft attachments with the
them as total liabilities in the calculation of net capital on the condition that they rectify the excess qualified subordinated debt so as not to surpass the shareholders’ equity within a specified
Secretary-General, said: “As foreign investment of Thai investors increases, the SEC has urged them to study the information about those foreign investment products carefully, utilizing appropriate advice
disclosures that involve risks and opportunities concerning climate change, enabling them to analyze securities, give investment advice, and make investment decisions efficiently. This is also a major step
on the letter of consent which specifies civil sanctions to comply with the civil sanctions determined by the Civil Sanction Committee. If any of them declines to give consent for the civil