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

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

. For example, high-risk transactions related to clients’ assets would be subject to AAL2.1** while other transactions would be subject to AAL1**.  The consultation paper is available at www.sec.or.th

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.  

any country or any sector. For example, a higher-than-80-percent concentration in any sector would represent high risk. In addition, a risk warning statement would have to be printed on the cover of

-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

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

bond liquidity, investors’ knowledge on debt securities, intermediaries and market professionals’ duty performance, the development of shared infrastructures and market database, and high-risk debt

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

the amount of Baht 33.52 million as a result of the deduction in net retention and portion of high risk products. However, claim incurred net of reinsurance recovery, commission and brokerage expenses