knowledge and relevant experience as a means to further gauge investors’ ability to take risks. The new rule will also allow investors to access a more diverse range of products and businesses to gain more

appropriate experience and ability, and necessary authority, to assume that responsibility. If yes, is their appropriate experience and ability sufficient to identify and understand quality control issues and

activities of CRAs. In order to promote transparency and improve the ability of market participants and others to judge whether a CRA has satisfactorily implemented the IOSCO CRA Code, CRAs should disclose how

instruments type 1 is allowed to give advice to investors about capital market products without complex features and products with high risks or complexity of all types. Ex., investment units of mutual funds

investors about capital market products without complex features and products with high risks or complexity of all types. Ex., investment units of mutual funds for institutional investors or ultra-high net

instruments type 1 is allowed to give advice to investors about capital market products without complex features and products with high risks or complexity of all types, e.g., investment units of mutual

corporations depending on their inherent technology risk, which varies in terms of nature of business, organizational structure, business size and complexity of the utilized technology. In addition, the scope of

April 18, 2022 “Red flags” – how useful? • Very rapid growth • Charismatic founder with carefully managed image • Cultivation of politicians • Promises of philanthropy • Complexity • Friends and family in

and ability in competitiveness of Thai capital market. _____________________________

known as robo-advisor, service to be offered to investors next year. Robo-advisor has gained popularities in many foreign capital markets as it offers investors ability to obtain lower cost investment