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
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
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.
, possess wealth that meets the criteria, and are able to accept high risk associated with the trading situation of SMEs and startups. The governing rules and regulations are expected to take effect within
Microsoft PowerPoint - Discussion of risks for auditor Discussion of risk ฝ่ายกํากับบัญชีตลาดทุน 2 agenda 1. Economic Environment 2. Political Environments 3. High Risk Industries 4. Specific
become apparent, that an investment scam or fraud has taken place. • Recognises that “low risk, high return” investments do not exist.
ด้วยเช่นกัน (high risk, high return)ดังนั้นนักลงทุนควรจะประเมินความเสี่ยงที่รับได้ และเลือกหุ้นกู้ที่เหมาะสมกับตน 5. หุ้นกู้ที่เสนอขายผู้ลงทุนรายใหญ่หรือผู้ลงทุนรายย่อยทุกตัวต้องผ่านการพิจารณาของ