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
who is able to provide consultation to investors on capital market products not having complex characteristics as well as the product having high-risk or complex characteristics.
risk suitability test, and the event also provides customer services zones where tips regarding fraudulent solicitations and suspicious services and products are provided. Furthermore, a clinic
สภาพการเปลี่ยนแปลงดังกล่าว จึงปรับปรุงเกณฑ์ใหม่โดยกำหนดให้ขนาดของเงินกองทุนแปรผันตามความเสี่ยงของธุรกิจ โดยเฉพาะอย่างยิ่งความเสี่ยงด้านปฏิบัติการ (operational risk) ซึ่งจะแปรผันตามขนาดและปริมาณการประกอบ
เครื่องมือให้ข้อมูลแก่ผู้ลงทุน (SEC Check Tools) อาทิ SEC Check First, SEC Fund Check, และ SEC Bond Check รวมทั้งผลงานด้านการส่งเสริมและกำกับดูแลด้านไซเบอร์ในภาคตลาดทุน (Cyber Risk Supervision in Capital
capital that reflects risks associated with custody of clients’ assets and helps bring good risk management. Net capital (NC) requirement will be applied for the digital asset businesses. Such digital
company must upgrade its operating system and risk management systems to support the additionally approved securities classes. The consultation paper is available at www.sec.or.th/hearing