) a warning stating that “investment contains certain risks; investors are recommended to study related information before making investment decision”; (3) in advertising long-term equity fund and

recommended to study related information before making investment decision”; (3) in advertising long-term equity fund and retirement mutual fund, the securities company shall have a warning statement that

circumstances which may significantly affect the management company or may cause damages to customers or investors. Such plan shall be stress-tested, reviewed and improved to be up-to-date and to be suitable for

individual customer; (d) the right to receive information relating to fundamental factors and the risk of the recommended securities, including investment strategy; (5) characteristics of general and specific

มีการนำข้อมูลที่ได้จากการพิจารณาผลกระทบไปดำเนินการต่ออย่างไร เช่น มีการทำ stress test/ scenario analysis เพื่อพิจารณาถึงเหตุการณ์ที่มีผลลบต่อสถานะตามสัญญาซื้อขายล่วงหน้าที่อาจเป็นไปได้ และการประเมิน

contingency plan to be up-to-date and to conform to the current situation 5. Having a stress test on the contingency plan 6. In the case of emergency, the followings should be executed: 6.1 Communication of the

transactions; (b) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for

Market Supervisory Board, or the Office of the Securities and Exchange Commission has recommended any investment in the securities nor shall they assure the value or returns on the securities being offered