efficiency and practicality for the industry. On the salesperson side, the focus will be to enhance quality by recategorizing sales licenses according to levels of risk and complexity of the products. The
, which would help the visitors assess their risk tolerance before choosing financial products accordingly. Visitors are also welcome to participate in the SEC quiz games on the capital market and
trigger fund rules require that intermidiaries disclose clear information with regard to commission fees, product features and risk warnings. For example, the information that the trigger point is not a
take precaution in trading securities with a high Price to Earnings (P/E) ratio or securities under cash balance rule, as well as to provide relevant risk information. If any securities companies fail to
Bangkok, November 3, 2014 ? The SEC will revise underwriting rules to provide more flexible risk management by permitting underwriters to trade underlying securities of the underwritten securities
of interest prevention, internal control and risk management. The consultation papers on the regulation on REIT unit issuance and offering and seven associated rules are available on the SEC website
ก.ล.ต. มีแนวคิดที่จะปรับปรุงข้อกำหนดสำหรับบริษัทหลักทรัพย์ที่กำลังประสบปัญหาฐานะเงินกองทุน (prudential risk) และไม่สามารถดำรงเงินกองทุนสภาพคล่องสุทธิได้ตามที่ประกาศกำหนด ซึ่งข้อกำหนดที่ปรับปรุง
needs and getting to know various financial products. Also, information to share with the visitors includes how to plan asset allocation with risk diversification; properly select securities companies