client due diligence ? e.g., clients? investment objectives, personal conditions and risk tolerance ? before giving advice, attached with supporting reasons, on suitable funds for their investment. In

conduct must be as strict as those imposed on the sale of high-risk products and the associated risks must be clearly disclosed;  (8)  Debt issuers must use the raised money to repay for the earlier

risk tolerance;    (3) To enhance PVD efficiency by improving member protection mechanism to ensure fair treatment whereby the qualifications, roles and responsibilities of the Fund Committee must

the risk of nonperformance to the sale and purchase agreement as NMG is required to repay a partial amount of the account receivable to NBC within seven business days as from the date when NMG has

facilitate greater access to finance and business opportunity for Thai FinTech industry; and sustainable finance such as promoting green bonds and climate risk disclosure for listed companies. Initially

-19 crisis. This includes setting up an alternative site, installing a remote working support system, and delegating remote working teams to mitigate operational risk, to ensure that the overall

, and (2) investing in low-risk, high-liquidity instruments, e.g., treasury bills, government bonds, state enterprise bonds, Bank of Thailand bonds, and debt instruments avaled or full guaranteed by the

procedure for selling of high risk securities such as suitability test, key information disclosure and warning of the securities? high risks or complexity.? Mr. Vorapol added.

temporarily for three months.? In the meeting, the SEC Board also passed a resolution to support trading of single stock futures (SSF) as another investment and risk management tool in the market. The SEC has

, could pose risk to the client. She also disregarded her client?s instruction and continued her improper actions. The SEC, therefore, suspends Kruawan from the status of approved investor contact for one