, 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
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.
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
associated with high risks; therefore, only institutional investors and those with high risk tolerance will be allowed to invest in the fund and a high minimum subscription may apply. There are 123 CDM
-General Rapee Sucharitakul, said, “Digital assets are useful to the public as a fundraising tool and are the medium for exchange. However, as they are high-risk assets, the market is for those who are
with conditions for postponing or canceling interest payments and postponing principal repayment without being considered an event of default are complex and high-risk debt instruments. Therefore, the
procedure for selling of high risk securities such as suitability test, key information disclosure and warning of the securities? high risks or complexity.? Mr. Vorapol added.
30 August 2017.** Investment Consultant of Complex Products Type 1 is approved to give investment advice on non-complex capital market products as well as all types of high-risk or complex products
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