investors about capital market products without complex features and products with high risks or complexity of all types. Ex., investment units of mutual funds for institutional investors or ultra-high net
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
corporations depending on their inherent technology risk, which varies in terms of nature of business, organizational structure, business size and complexity of the utilized technology. In addition, the scope of
April 18, 2022 “Red flags” – how useful? • Very rapid growth • Charismatic founder with carefully managed image • Cultivation of politicians • Promises of philanthropy • Complexity • Friends and family in
investment consultant for complex 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. Ex
, permissible to be offered to institutional investors and high net worth investors, either directly or through intermediaries. Due to the instruments? characteristics of high risk and complexity, the investment
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., investment units of mutual
of trading volume, a number of listed companies along with the introduction of new financial instruments and complexity of management strategies. Assessment criteria must therefore be adjusted in
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...
policy : - Utility charges : According to the rates announced by Saha Group Industrial Park, based on actual units or volume used - Business consultancy fees : Fees depending on the complexity level of