borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its
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
Deputy Secretary-General said, ?At present, Thailand audit oversight has been developed and recognized at international level. The SEC has placed high emphasis on uplifting quality of audit work and
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.