proposing to review the regulations governing debt securities of all types and related notifications. In essence, the proposed amendments to the debt securities regulations concern the followings: (1
such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members
implementing anti-graft practices. Should they raise concern and seriously implement policy to fight against corruption, it will bring about social pressure to reinforce social performance, particularly for the
her from applying for a new approval as capital market business personnel for a period of 10 years, effective from 14 March 2019.Investors are advised to be careful and cast doubt on any solicitation
shares of the seller was a prerequisite before entering into the transaction. Therefore, there is doubt about whether NUSA has complied with the aforementioned prerequisite conditions. Additionally, what
investments; and (5) Lack serious concern on this matter because most of the people do not make any financial plan and are not aware of future problem. As the Thai capital market supervisory body, the SEC has
to verify the transactions. This raised doubt whether such transactions were executed as truly intended by the clients. In addition, a certain share transfer from a client account was found to be
transactions with such clients without calling the original number or pursuing any other means to verify the transactions. This raised doubt whether such transactions were executed as truly intended by the
selling orders were made with equal or under the purchase prices without concern for loss to the client. Moreover, trading volumes soared during the marketing campaign of Country Group Securities.In
in Asia, including issues of concern and challenges as well as the policy responses and initiatives by public authorities on the matter. Based on the analysis of national responses, certain policy