) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products and high-risk or complex products, i.e., derivatives, high-risk or complex of
securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and
all types of complex, non-complex and high-risk capital market products.
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
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.
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. Ex., investment units of mutual funds