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
less than 279 million baht to maintain its legally required level of capital, to submit by December 11, 2008 documentary evidence of shareholders? unconditional intent to subscribe to its capital
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 relevant regulation*. The SEC is also proposing to stipulate a minimum Authentication Assurance Level (AAL) for clients’ online transactions via the company’s system based on associated risks
baht during 13-20 March 2020, and the reduction and cancelation of BOT bond issuance, while the Monetary Policy Committee has reduced the policy rate to the record-low level of 0.75 percent per year
. Key points of the regulations can be summarized as follows: 1. Domestic Systemically Important Banks (D-SIBs) and financial institutions with a high level of cyber inherent risk must appoint a Chief
investors to make use of CRA information and rating to evaluate credit risk of targeted instruments more efficiently and confidently,? said SEC Secretary-General Vorapol Socatiyanurak.
was rated in the top level of "Excellence : 5 Stars" for fourth consecutive year. LH Financial Group Public Company Limited Management Discussion and Analysis for the Second Quarter ended 30 June 2019
level of examination strictness increases according to the higher level of risk. In case of non-compliance with the above measures, the SET has the power to impose penalties. Moreover, in cases where