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

securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and

investor protection according to the risk levels of different types of DW. The principles for the revision are as follows: 1.    Qualifications of DW issuer: In case of partial or no collateralization, DW

past decade, however, the SEC decided to revise the criteria for the Turnover List preparation. This is to serve as a precaution for risk management and investment in securities with high turnover ratio

หมายถึงหุ้นกู้ที่มีความเสี่ยงสูงด้วยเช่นกัน (high risk, high return)ดังนั้นนักลงทุนควรจะประเมินความเสี่ยงที่รับได้ และเลือกหุ้นกู้ที่เหมาะสมกับตน​ ​ 5. หุ้นกู้ที่เสนอขายผู้ลงทุนรายใหญ่หรือผู้ลงทุนรายย่อย

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

Cryptocurrency is a financial innovation that is exposed to high volatility. Investment in this digital asset thus requires knowledge and understanding and a risk profile that is not so sensitive

directions that focus on effective, timely and proactive integrated risk management (IRM), internal operation efficiency, maximized resource utilization, along with better IT systems, to ensure that we will

. For example, high-risk transactions related to clients’ assets would be subject to AAL2.1** while other transactions would be subject to AAL1**.  The consultation paper is available at www.sec.or.th

-purchase income were 1,029 million baht, reduced by 44 million baht or decreasing 4.1% y-y due to selective approach in credit judgement amid remaining high risky economic factors in this year. However, the