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
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hearing last year in order to make the rules practical for the business operators. The consultation paper on the draft regulations is available at www.sec.or.th/hearing or contact the Intermediaries
is designed to encourage and support capital market intermediaries to have a cyber resilience, as well as to prepare playbook for cybersecurity incidents, which is an important part of the
Currently, a large number of intermediaries provide investment products and services. They each tend to require investors to fill in a lot of information via various, different forms to open an
world. SEC thus promotes application of ESG principles in the Thai capital market in all aspects, from the areas of products, issuers, investors and the preparation for readiness of intermediaries* as
intermediaries such as financial advisor, underwriter and bondholders’ representative. These intermediaries may be related to the issuer and the offeror in such a way that may have an impact on their duty
Bangkok, 9 August 2016 ? The SEC is seeking public comments on the proposed revision to the rules governing custody of clients? assets by intermediaries to ensure investors? best interest.The guiding