practicality, securities underwriter is permitted to develop its own suitability test and may attach the test with securities subscription form to client in advance. Existing client who has done the suitability
misappropriated the client's subscription cash payment of 500,000 baht for his own use. He then ordered his subordinate to transfer units of another mutual fund held by the same client into the solicited fund by
own low risk exposure. In addition, such requirement may be inconsistent with the business types or the business risks of intermediaries, and may not support the development of new businesses that make
better understand financial products and their own risk tolerance so as to make well-informed investment decisions. # # #
into the case and found that from July 24 to August 26, 2009, {A} {B} {C} {D} {E} {F} {G} {H} {I} {J} and {K} had colluded to trade MILL shares through securities trading accounts of their own and other
been set up and offered investment units to the public.?State enterprises can mobilize fund by setting up infrastructure funds in a pattern suitable for their own organizations; for instance, selling
found that on October 3, 2012, {A} {B} and {C} had colluded to trade TPC shares through their own securities trading accounts and the accounts of {D} and {E}. The trading was done in the manner that
allowed to invest in derivatives only for hedging. Furthermore, for provident funds with a ?do it yourself? (DIY) policy that allow the fund members to determine their own investment proportion in
manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions