bond liquidity, investors’ knowledge on debt securities, intermediaries and market professionals’ duty performance, the development of shared infrastructures and market database, and high-risk debt

The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, organized a financial and investment lecture for approximately 120 high school students at Amnuay

than 40% or high P/E ratio or operating loss or being in the REHABCO sector. The SEC would like to clarify as follows: - The Association of Securities Companies (ASCO), with its good intention

sale newly issued securities in the category of of debt securities to high-net-worth investors on a program basis without providing its securities for credit rating prior to the offer for sale of the

subordinated to other securities holders or creditors, identify, as of the most recent practicable date, the aggregate amount of outstanding 5 indebtedness that is senior to the subordinated debt securities

เอกสารรับฟังความคิดเห็น เร่ือง 1. การอนุญาตให้เสนอขายตราสารหนี้ท่ีไม่มีการจัดอันดับความน่าเชื่อถือ (unrated bonds) และกองทุนรวมท่ีสามารถลงทุนในตราสารหนี้ท่ีมีความเสี่ยงสูง (high yield bonds) ต่อผู้ลง

of the relationship with clients (on-going KYC/CDD). Clause 9. In conducting the KYC/CDD process pursuant to Clause 8, securities company is required to perform the following:- (1) identify the

clients (on-going KYC/CDD). Clause 9. In conducting the KYC/CDD process pursuant to Clause 8, securities company is required to perform the following:- (1) identify the client’s true identity (client

following:- (1) identify the client’s true identity (client identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s

they do not accept the company’s position. Institutional investors should endeavour to identify at an early stage issues that may result in a significant loss in investment value. If they have concerns