non-complex capital market products and complex or high-risk debt instruments or investment units, e.g., investment units of mutual funds offered to institutional or ultra-high net worth investors

any transaction not their own, or risk being exploited for an offense without their knowledge or subject to litigation in connection with an investment consultant?s misconduct

and truly help boost working efficiency. For back office staff, additional knowledge on new financial instruments, risk management and regulations are needed for the staff to cope with dynamically

interest properly, and prioritize advancing the best interest of clients by identifying potential conflicts of interest in various areas such as the management structure, work system, control and risk

providing them with more information in response to development in capital market and new products. In addition, the rules on fund?s investment diversification must also be revised by taking into account risk

risk management system for unit selling and purchasing was defective, and the internal audit and internal control systems as well as the compliance system were inefficient. Besides, the bank failed to

Associate Director (Strategy, Policy and Risk Department) ของ Dubai Financial Services Authority (DFSA) มองแนวโน้มการกำกับดูแลสินทรัพย์ดิจิทัลว่า DFSA เห็นว่ายังต้องมีมาตรการจัดการความเสี่ยงให้ครอบคลุมทุกด้าน

ในการพัฒนาตลาดทุนเพิ่มขึ้น ซึ่งหน่วยงานกำกับดูแลควรพิจารณาหลักการกำกับดูแลผลิตภัณฑ์ที่มีลักษณะความเสี่ยงคล้ายกันภายใต้กฎเกณฑ์เดียวกัน (same activities, same risk, same regulatory outcome) โดยต้อง

exposed to any market risk and gained profits from every transaction they entered into in connection thereof. For the sale side, Numkrit sold the securities owned by UBS?s clients to his conspirators at the

properly allocate their investment suitable to risk appetite and expected return, promoting long-term investment as well as financial literacy through a variety of media."Peet Yongvanich, Managing Director