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
ผู้ประกอบธุรกิจตามแบบรายงาน Risk Level Assessment ("รายงาน RLA") โดยต้องจัดส่งรายงาน RLA สำหรับปี 2566 ครั้งที่ 1 ภายในวันที่ 31 กรกฎาคม 2566ซึ่งต่อมา KWI ได้จัดส่งแบบรายงาน RLA สำหรับปี 2566 ครั้งที่ 1
types.Furthermore, the forced sale of collaterals in the form of investment units may lead to a decline in the net asset value per unit, potentially triggering the redemption of other investment units. Legal risk may
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
objective only to risk management. The draft regulations aim to provide investors with more variety of investment alternatives and promote new income channels for securities companies as well as increase
investors to carefully and prudently study the information from the complete version of summarized significant features of securities (Fact Sheet) to clearly understand the product and appraise own risk
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
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