requirements to avoid possible disputes or frauds committed upon their assets, said SEC Deputy Secretary-General Vasant Thienhom. Failure to keep complete and correct records of clients? orders are deemed non
inappropriate transactions or illegal actions may be committed and evade detection. Such circumstances would consequently affect confidence in securities business and the capital market at large; (2) Custody
the clients in accordance with the law. Such neligence exposed the company to risk whereby inappropriate transactions or illegal actions may be committed and evade detection. Such circumstances would
amendments to term fund rules to mitigate concentration risks and avoid misunderstanding of product characteristics Term fund is highly popular among investors, asset management companies and commercial banks
avoid abusing the self-regulation regime to create member privilege or unfair competition in the industry. 2. Impact of the adoption of sliding scale brokerage fee Termination of sliding scale brokerage
cautious and deal only with licensed business operators in order to avoid scams and rip-offs. List of licensees is available at the SEC website (www.sec.or.th) under ?License Check? banner. In case of
Ministry of Finance. The approval criteria include clear disclosure of information, fairness and compliance ? there must be no grounds of suspicion regarding the issuer's intention to avoid regulatory
centers or hotels. And importantly, unlicensed business operators move their offices all the times without notifying their clients to avoid the clients? contact to redeem or withdraw their investment. The