/esubmission_report_list_phase2.xlsx QAQR-04.xlsx assurance that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities
-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
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.
into the firm without conditions.2. During the time TSFC is still unable to meet the above-mentioned capital requirement; the company must not expand its business or invest further in any risky
representative in Thailand Information as of XX XX XXXX Name of the ARFP Fund Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation Investment policy and
Fund Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation Investment policy and strategy Calendar year performance and benchmarks over the past
ซับซ้อน (plain) และ/หรือ ตราสารที่ผู้ลงทุนมีความคุ้นเคย ในการลงทุนแล้ว (common) (2) ตราสารที่มีความซับซ้อน (complex) และ/หรือเสี่ยงสูง (risky) 1.1 หลักการในการแบ่งประเภท product ควรดูที่ความซับซ้อนของ
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
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