investor by way of providing sufficient information for decision making and to reduce risks due to a high number of senior retail investors.Furthermore, the meeting also discussed important issues related
equity, (2) the additional capital to ensure business continuity, and (3) the additional capital to cover potential liability risks due to professional negligence. Actions in case of failure to meet the
offering and to strengthen proper investor protection mechanisms. Pursuant to the amended regulations, investors’ rights will be protected fairly according to the characteristics, forms and risks of the
Complex Instruments Type 2 is allowed to give advice to investors about capital market products with non-complex features and investment units or debt securities with high risks or complexity, e.g
addressing potential damage from operational risks. For example, a lower ongoing capital requirement would be permissible specifically for intermediaries that only provide asset management services excluding
incur loss depending on its potential risks. _______________________ Notes: Clause 23(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Capital
) fact sheet of the offering, business overview, financial condition and operating results, (2) risk factors to get an idea of what kind of potential risks that may affect the issuer, (3) related party
investors can better understand the fund features and investment risks. Meanwhile, rules on selling practice of investment consultants have been revised accordingly.The consultation paper can be found at
forms in order to have sufficient information to supervise the aforementioned risks and to provide appropriate measures to respond to the case of such events, which could immediately slow down or
users of the financial statements and reflect more clearly the business operation pattern and the business risks, especially classification and measurement of investment and allowance for impairment