) fact sheet of the offering, business overview, financial condition and operating results, (2) risk factors to get an idea of what kind of potential risks that may affect the issuer, (3) related party
own low risk exposure. In addition, such requirement may be inconsistent with the business types or the business risks of intermediaries, and may not support the development of new businesses that make
out guidelines and put in place a variety of tools such as risk monitoring and management as well as preventive measures such as investor education to help address these issues. There is also a forum
because such unlicensed activities do not come with legal protection, and the investing public is exposed to the risk of falling victim to scams. The SEC also warns the exhibition organizer to be cautious
indicated impressive improvement in terms of audit manuals and audit programs for most of the audit firms. Nonetheless, more emphasis on some areas is needed, such as planning and risk assessment as well as
ปฏิบัติงานในเรื่องดังกล่าวอย่างมีประสิทธิภาพ นอกจากนี้ ก.ล.ต. ยังได้สื่อสารให้ผู้ประกอบธุรกิจในตลาดทุนทราบถึงข้อสังเกตที่พบจากการตรวจสอบ Cyber risk ในธุรกิจหลักทรัพย์และธุรกิจจัดการลงทุน รวมทั้งหารือแผน
having medium to high risk level without principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete
the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk
, the shareholding structure of any group of investors and major shareholders, business operation, fundraising objective, and risk factors. This is to ensure that investors would receive material and
price risk measurement tool, on the cover of the registration statement and prospectus.In addition, the draft amendment would allow foreign shares and foreign index to be an additional underlying for DW