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

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

. 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

Cycle of Audit Inspection ........................................................ Significant Statistical Information .................................. 02 04 05 08 24 38 40 43 Executive summary High

offering of complex and risky financial tools and services now requires investors to complete an assessment test to confirm understanding of the products or services, as well as ensuring analytical reports

Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor

Complex Instruments Type 2 is allowed to give advice to investors about capital market products with non-complex features and investment units or debt securities with high risks or complexity, e.g