{A} had solicited a client to invest in derivatives products by guaranteeing returns; the client agreed to the deal and allowed him to make investment decisions on the client's behalf. Later, he was

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

order to increase opportunities for, and facilitate, investors to access information of products in ASEAN capital market, and to complement an initiative of ASEAN Capital Markets Forum (ACMF) which aims

underwriter and client in that it will provide securities underwriter with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for client. The revised

intermediaries. These proposed rules aim to provide sufficient and material information for investors? decision making, and to promote salespersons? thorough understanding of the products they offer as well as

to a wider target. The application features simple tips on financial planning, easy to access information on financial products and more information useful for making investment decision which includes

financial products and services in the capital market.The applicant must have the qualifications as specified by the Ministerial Regulations concerning undertaking of securities business in the category that

? Equity and Infrastructure Department, Corporate Finance ? Debt and Other Products Department and Accounting Supervision Department. # # # # # # Nataya Niyamanusorn joined the SEC since 1992. She has

, gain more knowledge about financial products and be able to make more efficient investment decision,? said Mr. Vorapol.

regulators. The revision also requires that rating of products with complicated features, including plain and tranche securitization, be attached with a special symbol. ?The global financial environment is