return rate and the investment term were written on the cover of the client's fund book. The SEC has therefore suspended approval for {B} as a securities investment consultant for a period of two years

principle the proposed guidelines which cover four major areas, as follows:  (1) To support current PVD employers in signing up employees for PVD membership automatically unless opting out; (2) To promote

drafting the relevant notification that would cover the scope of products for which the business operators can provide services, being listed products on the Thai capital market and foreign capital

is intended to propose the draft notification that will cover the clear segregation of work for the delegation of other persons to operate.  The draft notification also allows business operators to

include:   - disclosure of additional information to cover individual remunerations for executives of the highest rank, e.g., chief executive officer and managing director;    - extending the periods for

limited only to major investors or high net worth investors.The guidelines proposed by SEC for supervision and encouragement of such business cover 4 key points as follows:1.     The process for wealth

The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However

. provision regarding the release or substitution of assets securing the issue. C. Guarantees Provide information about the guarantors and the main features and terms of guarantees. The information shall cover

appraisal in risk management shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside information of units and personnel of the securities company

operation of the securities company. Risk to be taken into appraisal in risk management shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside