Loan of Financial Institutions Act B.E. 2523 (1980), except as specified in Chapter 7; “capital market product” means securities and derivatives; “capital market product having high-risk or complex
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
Notification Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries: “High-risk or complex mutual fund” shall be specified. 17.2 For a
Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries: “High-risk or complex mutual fund” shall be specified. 17.2 For a Sustainable and Responsible Investing
: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries: “High-risk or complex mutual fund” shall be specified. 18.4 For a
exchange; (ii) investment units without high-risk or complex characteristics issued and offered for sale in an ASEAN country; (iii) debt instruments without high-risk or complex characteristics issued and
. These efforts are expected to contribute to Thailand’s economic growth and maintain the high-quality standard of the financial reporting of listed companies in Thailand. Additionally, the SEC reinforced a
with sufficient time to focus on the more complex and/or high-risk issues, another firm might assign the firm’s quality control system to audit personnel who specialized in this area in order to allow
volatility, effectively assume this risk. Structured securities are complex instruments, typically involve a high degree of risk and are intended for sale only to sophisticated investors who are capable of