jurisdictions can submit the filing under ASEAN Disclosure Standards. In case of private placement to institutional and high net worth investors, they can submit single filing form in English version.In addition

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

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

โอกาสของการระดมทุนแบบยั่งยืนในภูมิภาคอาเซียน (High-Level Roundtable on Green Finance Opportunities in ASEAN) ในหัวข้อบทบาทของผู้กำหนดนโยบาย ร่วมกับผู้บริหารระดับสูงจากหน่วยงานต่าง ๆ ที่เกี่ยวข้องจาก

. 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

(CIG-W1) in 2010 for other persons? benefits. This caused BLISS to have 17.4 million baht loss from such investment in CIG-W1 during the period that CIG-W1 had high cost and almost expired and eventually

company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and readiness to undertake the duty, and (4) Execute the duty by taking into consideration the benefits of