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
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.
, 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
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.
expenses. Besides, low-risk products offer low-return, while high-risk-high-return products come with high volatility. All of these factors make it more challenging to ensure sufficient post-retirement
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
(cash settlement); 2. Investment in futures has high risk. Futures trading is a high risk investment where investor may face unlimited loss. Hence, before deciding to trade in futures, the investor should
given time in the future (cash settlement); 2. Investment in futures has high risk. Futures trading is a high risk investment where investor may face unlimited loss. Hence, before deciding to trade in