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
goals. The portfolio will be adjusted with a view to rebalancing asset allocation to suit investors? age and risk appetite during a lifecycle. For those who are interested, please find additional
the business?s revenue or expenses to reflect the operational risk better that flat rate requirements. The consultation paper is available until January 27, 2014. The consultation paper is available on
channels, and service of high risk or complexed products. The consultation paper is available until January 31, 2014.The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and
strategies for the development and promotion of duties and self-discipline within securities companies – a critical responsibility for everyone, including the board and management, customer service, risk
offering information of each class of bonds, types of offering, risk levels, fact sheets, and relevant reports etc., to enable convenient access of the public and interested parties. The information can be
ผู้ประกอบธุรกิจตามแบบรายงาน Risk Level Assessment ("รายงาน RLA") โดยต้องจัดส่งรายงาน RLA สำหรับปี 2566 ครั้งที่ 1 ภายในวันที่ 31 กรกฎาคม 2566ซึ่งต่อมา KWI ได้จัดส่งแบบรายงาน RLA สำหรับปี 2566 ครั้งที่ 1
control the risk to customers' assets. The operation shall be obtained the approval from the SEC prior to the operation, but Zipmex did not do so. The act of Zipmex did not operate other than the
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