higher risk level in buying financial products with a higher risk than the client’s risk profile. SEC has considered the case and viewed that Somchai had behaviors with dishonest implication, affecting the

), presented the proposed training course to the working group. The first part of the action plan will start with a seminar within a small group of senior and middle level executives to brainstorm ideas and

analyzed and put into good use by SEC to ensure that customer received the appropriate level of protection.  The amendment of this regulation is part of SEC’s Regulatory Guillotine* project. The objective

level of strictness of the regulations governing the issuance and offer for sale of debt securities varies depending on the types of investors. For example, the regulations on a private placement to

engagement quality reviewers (EQR) of listed companies must have competence, capabilities and authority at a level not less than auditors in the capital market who audit listed companies. In the event that an

มหาวิทยาลัยฮาร์วาร์ด สหรัฐอเมริกา Mr. Lim Tuang Lee ประธาน IOSCO Board-level Fintech Taskforce และ Assistant Managing Director (Capital Markets) ของ Monetary Authority of Singapore (MAS) และ Ms

should be treated well, in particular their financial wellness.  Currently, employee savings remain modest as many of them have no saving or save with a little money while facing problem with their level

region.?? ------------------Notes: 1. The ASEAN Capital Markets Forum (ACMF) is a high-level grouping of ASEAN securities regulators established under the auspices of the ASEAN Finance Ministers in 2004.2

periods. Additionally, the comparative study on mutual fund performance amongst ASEAN countries demonstrated the highest level of performance persistence in Thai equity funds. Chanchai Mateepithaktham, the

Bangkok, February 15, 2013 ? The SEC hosted the first meeting of  heads of capital market policy makers and regulators in the Mekong region on February 8, 2013 in Bangkok. This high-level meeting was