investment. It must provide an appropriate warning to ensure investors are alerted to potential risks. The marketing campaigns must not induce or accelerate investment decision making with a lack of
provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for
securities and derivatives business operators. The revisions will provide a compilation of rules presently specified in a number of notifications for more clarity and appropriateness. According to the proposed
provide clarification on this matter with prompt rectification. For the benefits of EIC shareholders, he is also notified to disclose such rectification to EIC for further dissemination through the SET
on disclosure of financial condition and operational result of the foreign bank branches as well as to require the branches provide the issuer rating in issuing the debt securities.The consultation
the preparation of projects for innovation testing and development would be amended to allow entrepreneurs with useful innovations to provide their products or services to customers under certain
businesses during the suspension period.SEC reiterates that personnel in capital market businesses must perform duties or provide services with integrity and act in accordance with ethics or professional
derivatives business operators, which provide services such as securities brokerage, securities dealing, investment advisory, underwriting, mutual fund management, private fund management and derivatives
beginning of 2020. Most respondents were in favor of the regulatory updates and suggested that other regulations could be used to oversee fund management and provide investor protection. The
2020, we launched SEC Bond Check Version 1 to provide investors with more convenient access to important information before making investment decisions. This is part of SEC’s efforts to serve