allowed to give investment advice on all types of non-complex capital market products and complex or high-risk debt instruments or investment units, e.g., investment units of mutual funds offered to
companies would be allowed to conduct PP offerings to institutional investors (II), ultra-high net worth investors (UHNW), and high net worth investors (HNW), provided that the number of offerees does not
Board No. Tor Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017.** Investment Consultant for Complex Products Type 2 is allowed to provide investment
Personnel in the Capital Market Business (No. 7), dated 30 August 2017. ** Investment Consultant for Complex Instruments Type 2 is allowed to give investment advice on non-complex capital market products
. Yadapat Chinkrajangkit. The SEC investigation of the evidence has revealed that during September 2014 ? August 2016 the aforesaid persons jointly acted or conspired with or allowed or rendered assistance
in general comparison with competitors (numerical data not required)), customers’ characteristics, target groups, sales and distribution channels. In case of export, specify the domestic/export sales
Office. In providing services under the first paragraph, the online branch office is not allowed to give an advice concerning securities investment to customer. The securities company shall arrange to have
online branch office is not allowed to give an advice concerning securities investment to customer. The securities company shall arrange to have a clearly statement that the securities company is not
the notification of the Office. In providing services under the first paragraph, the online branch office is not allowed to give an advice concerning derivatives contract or suitability of trading in