; although the customer had never invested in a mutual fund before and could not afford to lose the principal, {A} allocated almost half of the customer's total assets in a mutual fund of a higher risk level
high risk investment policies. Asset management company providing employee?s choice must have their members undergo the suitability test and give appropriate advice for those choosing to invest in high
permit investment consultants to make securities trading on their behalves. While investment consultant has the duty only to provide investors with investment advice or planning, investors are responsible
ถึงได้ (wealth advice for all) หลักการและเหตุผล แนวทางการออกหลักเกณฑ์เกี่ยวกับการให้บริการคำแนะนำและวางแผนทางการเงิน (wealth advice) ภายใต้โครงการ Wealth Advice for All ซึ่งผลักดันให้คนไทยตระหนัก
, securities analysis, solicitation or provision of advice relating to securities, management of a securities business, management of customers’ assets in securities business, or any other positions or nature of
September 2013; “ software program ” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “ IT assets
September 2013; “software program” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “IT assets” means
regulations: This Notification applies to the preparation of prospectus for infrastructure fund. Clause 2 In this Notification, The terms “mutual fund,” “management company,” “assets of an infrastructure
operators in foreign jurisdictions/countries with their personnel giving investment advice. Under the governing rules and procedures, foreign business operators, having the prescribed characteristics and