Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment

bond liquidity, investors’ knowledge on debt securities, intermediaries and market professionals’ duty performance, the development of shared infrastructures and market database, and high-risk debt

. 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

PERIODICALLY CONDUCT HUMAN RIGHTS IMPACT ASSESSMENT IN HIGH RISK OWN OPERATIONS AND TIER 1 SUPPLIER EDUCATION & INEQUALITY REDUCTION 36 MILLION PEOPLE SUPPORTED THROUGH EDUCATION, LIFELONG LEARNING, AND

Capital Market Business (No. 7) dated 30 August 2017.   **  Investment consultant on non-complex products in the capital market and investment units or debt securities having high-risk or complex

warming potential HDPE - high density polyethylene ICT - information and communications technology IEA - International Energy Agency IPCC - The Intergovernmental Panel on Climate Change LCA - life cycle

for mutual funds in general. Risk Level Low 1 2 3 4 5 6 7 8 High Highly risky Investing primarily in equities at an average of not less than 80% of NAV in an accounting period The mutual fund risk level

systems and processes to identify high risk scenarios The issuer has contingency plans to address disruption to operations or loss of the asset and any resulting broader environmental or social damage The

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