take precaution in trading securities with a high Price to Earnings (P/E) ratio or securities under cash balance rule, as well as to provide relevant risk information. If any securities companies fail to
, customer service and information system, internal control system, and risk management system. In addition, related notifications will be codified into one document to facilitate the business operators
they offer for sale only low-risk money market funds.The consultation paper can be found at www.sec.or.th/hearing . Stakeholders and interested parties are welcome to give comments and suggestions via
technology and use it to manage investment risk. Moreover, the regulations would also stipulate that the business providers must disclose their information and make it accessible for the investing public
investment risk. Besides, the regulations would also stipulate that the business providers must disclose their information and make it accessible for the investing public, such as, the forms of services
adequate personnel with expertise to effectively supervise and administrate the risks of outsourced operation, as well as in case of outsourcing operation in investment management and investment risk
fixed details, that cover several issues such as personnel’s well-preparedness, investment management, reception and delivery of funds’ assets and risk management.SEC has studied the supervision in
details, that cover several issues such as personnel readiness, investment management, receiving and delivery of funds’ assets and risk management.SEC has studied the supervision in other countries and
calculation of liabilities and risk haircut values in order that the revised criteria will reflect the current situation concerning the debt instruments business and promote debt instruments transactions in