instruments type 1 is allowed to give advice to investors about capital market products without complex features and products with high risks or complexity of all types, e.g., investment units of mutual
Must Manage in This Changing World” emphasizes 4 types of challenges that are significant turning points, including the era of quickly shifting technology, the use of benefits from ASEAN becoming
assets as a tool to back money laundering. Moreover, certain types of digital assets are investment assets that require investors to study and thoroughly understand associated risks. The BOT therefore does
.” * Seven types of securities business: securities brokerage, securities dealing, securities underwriting, securities investment advisory, mutual fund management, private fund management, and limited
digital technologies such as distributed ledger technology (DLT) to all processes and makes it opens to support all types of capital market products. We will use big data and artificial intelligence (AI
provide easily and thoroughly assessable disclosure channels to investors as opposed to the previous requirement for specifically disclosing certain types of information at the companies’ office or the
level of strictness of the regulations governing the issuance and offer for sale of debt securities varies depending on the types of investors. For example, the regulations on a private placement to
notification relating to the promotion of money-market funds as a good short-term investment option.The essential details in the draft notifications are, for example, adding the types of assets in which
30 August 2017.** Investment Consultant of Complex Products Type 1 is approved to give investment advice on non-complex capital market products as well as all types of high-risk or complex products
Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently