conduct must be as strict as those imposed on the sale of high-risk products and the associated risks must be clearly disclosed;  (8)  Debt issuers must use the raised money to repay for the earlier

Interpretation • [All] One-standard deviation increase in paper loss would raise risk-taking by 13.79% • [Low-Risk Group] One-standard deviation increase in paper loss would raise risk- taking by 10.49% • [High

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

operating result – Relative to last year quarter’s, Loss Ratio had dropped by 8.64% (From 67.87% to 59.23%). Underwriting had been more selective. Sales associated with high risk clients had been monitored

Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment

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

. For example, high-risk transactions related to clients’ assets would be subject to AAL2.1** while other transactions would be subject to AAL1**.  The consultation paper is available at www.sec.or.th

PERIODICALLY CONDUCT HUMAN RIGHTS IMPACT ASSESSMENT IN HIGH RISK OWN OPERATIONS AND TIER 1 SUPPLIER EDUCATION & INEQUALITY REDUCTION 36 MILLION PEOPLE SUPPORTED THROUGH EDUCATION, LIFELONG LEARNING, AND

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

systems and processes to identify high risk scenarios The issuer has contingency plans to address disruption to operations or loss of the asset and any resulting broader environmental or social damage The