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

the duty of investment consultants to record them along with conversations at all times for evidence. The SEC places high importance in this matter because it will be beneficial to both investment

trading. This resulted in high impact on RICH shares trading values and volumes while a number of trading orders were matched within the said group.  {B} {C} and {D} aided or abetted the aforesaid actions

on the clients? behalf at a high trading volume and value. Later, the clients demanded her to compensate for losses incurred from trading. In addition, {A} admitted to trading in such manner by giving

exploiting client?s assets for personal interest. Following Thanachart's report, the SEC probed into the case and found that {A} traded high volume of securities in the client's account without permission for

income from business operation due to the high interest rate of 14-15 percent per year according to the loan contract. Such facts caused the GL financial statements to be in contravention of Section 56 of