bond mutual funds The draft regulation prescribes that unrated bonds and high yield bond mutual funds can only be sold to (1) institutional investor, for instance, commercial bank, securities company

delist KARAT from the Stock Exchange of Thailand (SET), before the information was disclosed to the public on July 3, 2002.  The SEC found that some accounts were opened to trade KARAT?s shares only while

aware of necessity of investment as only 7% of adult population invests in capital market. Accordingly, promoting investment knowledge and understanding as well as suitable investment channels are crucial

financial institution established under specific law. ?Recently, bills of exchange have been actively used for fundraising not only from institutional investors but also from private individuals either

account to the client every time after the trade date. {B}, however, agreed to make reparations to the client.In performing their duties, investment consultants can send trading orders only when obtaining

such permission.In performing their duty, an investment consultant can send trading orders only when obtaining orders from the clients. Even with the client?s permission; they cannot make decisions on

trading orders only when obtaining orders from the clients. Even with the client's permission; they cannot make decisions on behalf of the client.  In this regard, {A} and {B}'s actions were in violation of

months. Owing to the fact that {A}'s approved securities investment consultant status only lasts until December 31, 2014, his approved status was suspended until that date while the rest of suspension

market investment consultant for 6 months. As {A}'s approved capital market investment consultant status only lasts until December 31, 2014, his approved status was suspended until that date while the rest

that rationale is not the only factor influencing investment decision making while the regulator should put in place proper regulations to protect investors and provide appropriate investment