who is able to provide consultation to investors on capital market products not having complex characteristics as well as the product having high-risk or complex characteristics.  

risk suitability test, and the event also provides customer services zones where tips regarding fraudulent solicitations and suspicious services and products are provided.  Furthermore, a clinic

products that connect the capital markets of Thailand with the CLMV (consisting of Cambodia, Laos, Myanmar and Vietnam) and ASEAN countries which will make the Thai capital market more attractive

Excellence and (2) Stakeholders Relations whose roles include promoting and facilitating nationwide democratized access to products and services in the capital market. Moreover, the Corporate Finance

concentration risk due to investment in products of any single issuer. Under such conditions, a credit risk on any specific issuer in a term fund’s portfolio could adversely affect the net asset value of the

between Hong Kong and Thailand. More importantly, it will promote the competitiveness of local intermediaries in the international arena while enriching the types of fund products offered to investors.” Ms

to open up new business opportunities for asset management companies to expand investor bases and enrich the types of financial products offered to investors in both markets. In addition, this joint

investment products, including flexibility and relevance to the business models of the private sector, in line with the SEC’s short-term implementation plan, as follows:            (1)  Allowing leasehold

 {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