investment unit sellers to assess risk tolerance of each client and and give investment advice suitable for the client ' s risk appetite. Any client wishing to invest in a mutual fund which bears higher risks

transitional provisions, to ensure their digital asset business operations before 14 May 2018 and this information will be disclosed on SEC website: www.sec.or.th/digitalasset.SEC Board will assess

Bangkok, November 21, 2013 ? SEC has reintroduced mobile application ?start-to-invest III?, providing asset allocation feature to assess risks and expected returns, and channel to a variety of

an emphasis on key warnings, and (2) requiring a test of investors’ knowledge before first-time investment to assess investors’ investment suitability, which can be used as a tool for the seller to

institutional investors without requiring to assess the qualifications of the underlying clients for investor classification purposes*. This approach is based on the fact that private funds are managed by

a guidance for companies to evaluate their internal control adequacy. This evaluation form is based on COSO1s framework (The Committee of Sponsoring Organizations of the Treadway Commission) revised

investors, ESG disclosure requirements promote informational efficiency by providing accurate and timely ESG information for stakeholders to evaluate relevant ESG risks and opportunities. Moreover, the

capital of 5 million baht, requiring to have proper management structure and adequate personnel for business operations. ICO portals must be well-prepared to due diligence ICO issuers, assess business

efficient technology systems, a system to review and assess customers’ suitability, which is very important as digital assets contain high risks. Once applicants for licensing are well-prepared and have

and inventory register in most of the items while the company could not provide clear explanation about cause of such discrepancy. Chanunkorn, however, did not expand his audit scope, assess possible