Complex Instruments Type 2 is allowed to give advice to investors about capital market products with non-complex features and investment units or debt securities with high risks or complexity, e.g
{A} had solicited a client to invest in derivatives products by guaranteeing returns; the client agreed to the deal and allowed him to make investment decisions on the client's behalf. Later, he was
Under the SEC’s policy, digital asset business operators are not allowed to provide or support deposit taking and lending services to prevent possible damage to digital asset investors and the public
be allowed by the end of this year. Criteria for CIS to be offered will include (i) offer must be made only to institutional investor and high net worth investor with specified investment
alternatives to non-retail investor in Thailand. In addition, offer for sale of ASEAN CIS to retail investor will be allowed by the end of this year.Criteria for CIS to be offered will include (1) offer must be
Somchai, Chaninun, and Thanakorn were deemed as violation of Sections 243(1), (2) and 244 of the Securities and Exchange Act B.E. 2535 (1992). All of them were allowed to enter the settlement procedure. As
) to retail investors in Thailand, expected to become effective by Q2/2014.The ASEAN CIS allowed to be offered to retail investors in Thailand must be approved by capital market regulators and have been