PERIODICALLY CONDUCT HUMAN RIGHTS IMPACT ASSESSMENT IN HIGH RISK OWN OPERATIONS AND TIER 1 SUPPLIER EDUCATION & INEQUALITY REDUCTION 36 MILLION PEOPLE SUPPORTED THROUGH EDUCATION, LIFELONG LEARNING, AND
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
Capital Market Business (No. 7) dated 30 August 2017. ** Investment consultant on non-complex products in the capital market and investment units or debt securities having high-risk or complex
for mutual funds in general. Risk Level Low 1 2 3 4 5 6 7 8 High Highly risky Investing primarily in equities at an average of not less than 80% of NAV in an accounting period The mutual fund risk level
having medium to high risk level without principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete
-increase shares or subordinate bonds, and to refrain from making business expansion or further investments in high-risk instruments. On December 12, TSFC sent a letter informing the SEC that the company?s
the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk
who is able to provide consultation to investors on capital market products not having complex characteristics as well as the product having high-risk or complex characteristics.
worth) เพื่อให้สามารถลงทุนในตราสารที่มีความเสี่ยงสูง (high risk high return) ได้เช่นเดียวกับผู้ลงทุนสถาบัน โดยกำหนดคุณสมบัติของผู้ลงทุนรายใหญ่ ดังนี้ 2.1 บุคคลธรรมดาที่มีสินทรัพย์ ตั้งแต่ 40 ล้านบาท
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries