reconsidering if the client insists to invest. After giving additional consultation, if the client has still insisted, the intermediary shall arrange the client to sign for confirmation that the client accepts
consultation involving feature, risk and return of the investment or transaction for the client’s reviewing or reconsidering if the client insists to invest. After giving additional consultation, if the client
derivative agent business and respond to investors? changing demands. The proposed rules would allow investment consultants (IC) and investment planners (IP) to render more services related to securities and
Bangkok, 1 December 2017 ? The SEC is giving more focus to the regulation-for-growth approach to meet the demands of the public and all sectors of market participants more appropriately.Mrs
investment in all products. ?Improvement of the suitability test will not only provide the business operators and investors with more convenience, but will also better reflect investor demands. The test
Currently, asset management companies have established mixed funds with more diversified asset allocation to meet different demands of investors and to enhance efficiency for managing investment
types of businesses which do not need large amount of capital. These new rules can also support development of new business models to better respond to investors’ demands.”The new paid-up registered
of ages, returns expectations and risk tolerance. Provident funds with employee?s choice should serve fund members? demands better than those with single investment policy. We, therefore, encourage
earlier collected from the hearing on the guiding principles in January this year. Further revisions were also made to facilitate introduction of diverse investment choices in response to investors? demands