public at a financial technology exhibition held at a shopping center. The SEC thus conducted an on-site investigation to collect evidence. Today, the SEC and the ECD inspected the exhibition booths at the

).. (.% ' #6'0 " #1 - +#-! < = &' current value ). (in $ at the money) .&. +#-! +#-!"% '$ ' current value ).. (.% ' # "+3- ).. J0%0" # 'R )" # general market risk 3 specific risk "" 4 : " # General market risk

intermediaries.? The amendment proposal aims to strengthen IT security protection for intermediaries to cope with potential new types of risk arising from the use of new technologies such as mobile devices and

supervision and risk assessment of intermediaries and the monitoring of industry development, to prevent excessive burdens on securities and derivatives intermediaries.The proposed revision covers the reporting

risk management capacity and lower potential disruption to the overall market in compliance with international standards. Essentially, the amendment would require that the senior management of securities

structuring, capital resources and risk management. The consultation paper is available at www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile at

securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and

and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposal, the capital requirements imposed on those business operators will better reflect operational risk

alternative for provident fund? for the provident fund committees. The seminar schedule is set for two rounds on May 28 and June 25, 2014 from 9.00 ? 12.00 hrs. at 1601 meeting room, SEC Office on Viphavadi

The SEC supervises intermediaries? efficiency with an emphasis on risk management, suitable business model and risk profile of each securities house.? SEC Assistant Secretary-General Paralee