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

ลดความเสี่ยงด้านสิ่งแวดล้อม สังคม และธรรมาภิบาล (ESG) รวมถึงความเสี่ยงที่เกี่ยวข้องกับการเปลี่ยนแปลงสภาพภูมิอากาศ (climate risk) โดยนำหลักการ ESG ไปปฏิบัติให้เกิดผลอย่างเป็นรูปธรรม โดยมีกรรมการและ

of interest prevention, internal control and risk management.  The consultation papers on the regulation on REIT unit issuance and offering and seven associated rules are available on the SEC website

raise funds with more opportunities and alternatives in issuing financial instruments. At the same time, investors with higher risk-taking capability will have more investment alternatives, while

any actions where conflicts of interest may arise, such as soft commission, related party transaction, proprietary trading and staff dealing. In addition, effective risk management system for

probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client

and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the

indebtedness. Under the said circumstances, the debt securities holders may expose to legal risk that would restrain them claiming on the assets of overseas headquarter. Thus, the SEC proposed to amend the rules