-increase shares or subordinate bonds, and to refrain from making business expansion or further investments in high-risk instruments.   On December 12, TSFC sent a letter informing the SEC that the company?s

-to-market value of the company?s capital funds as a result of huge losses on its equity investment portfolio and high provisions for doubtful accounts of margin loans. SEC Secretary-General

Re: Rules in Detail of the Work System and Management of Mutual Funds for  Institutional Investors or Ultra-High Net Worth Investors, dated 1 February 2019.**  Regulatory Guillotine is the

for the clients trading securities under cash balance rule or those transferring high volume of securities into their accounts to increase their credit limit and later transferring such securities out

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

assets comes with high risks. Those who are interested in investing must have knowledge and ability to take risks in investment losses. In a case of persuasion for investment, investors should examine

. 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

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.  

investor by way of providing sufficient information for decision making and to reduce risks due to a high number of senior retail investors.Furthermore, the meeting also discussed important issues related

any country or any sector. For example, a higher-than-80-percent concentration in any sector would represent high risk. In addition, a risk warning statement would have to be printed on the cover of