ตองผานตัวกลาง 1) เสนอขายตราสารหนี้ทุกประเภทแบบ PO 2) เสนอขายตราสารหนี้ที่มีความซับซอน/ ความเสี่ยงสูง (“ตราสารหนี้ complex/risky”)1 ตอ HNW 1) เสนอขายตราสารหนี้ทุกประเภทตอ II 2) เสนอขายตราสารหนี

with sufficient time to focus on the more complex and/or high-risk issues, another firm might assign the firm’s quality control system to audit personnel who specialized in this area in order to allow

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

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

. 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.  

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

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