consultant providing consultation only on capital market product not having complex characteristics ; (2) complex instrument investment consultant means an investment consultant providing consultation on
high-risk or complex characteristics; (b) complex instrument investment consultant type 2 is able to provide consultation on capital market product having high-risk or complex characteristics only
(UNOFFICIAL TRANSLATION) Codified up to No. 5 As of 8 December 8 2016. Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
Translation (Translation) PAGE (Translation) -9- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC
public and high net worth investors would have to be investment grade products only. This is primary quality screening of the bond issuers to check their capability of repaying obligations because such
aggressive discount were withdrew in Jan-Feb while demand from lockdown only emerged in the last week of March. APRU continued declining as the competition remained elevated particularly with deep discount
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages