listed companies. Having strong CG could help lessen risk exposures, not specifically for market risk, as well as contribute to higher returns; in particular, less price fluctuation during economic
compete. One approach is to explore new lines of business other than their core securities and derivatives businesses. Such new businesses may have a higher investment value and a higher risk, or may not
other companies, which offer high returns along with having minimum investment amounts and an investment period no more than one year. Promotions such as financial rewards or bonuses are also being
@sec.or.th or telephone: 092-498-4939 any day anytime, 24 hours a day. This is the new standard of SEC complaint handling procedure to ensure proper investor protection. Investors and the public can file a
discussing with her client to fine-tune the deficit portfolio. At the end of the trading day, she notified her client via mobile telephone after working hours.Making securities trading decisions on behalf of
client of trading orders via telephone at the end of the trading day.Making securities trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market
. Key points of the regulations can be summarized as follows: 1. Domestic Systemically Important Banks (D-SIBs) and financial institutions with a high level of cyber inherent risk must appoint a Chief
borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its
Deputy Secretary-General said, ?At present, Thailand audit oversight has been developed and recognized at international level. The SEC has placed high emphasis on uplifting quality of audit work and
having medium to high risk level without principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete