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

, 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

% • [High-Risk Group] One standard deviation increase in realized loss would increase risk-taking by 2.98% SEC Classification : ใชภ้ายใน (Internal) Results – Bull vs. Bear Markets 19 SEC Classification

being an important fund raising tool for businesses that would otherwise have to rely on a more expensive funding from the banking system, is also less risky than equity instrument and can also be a

investors’ perceptions that these firms are less risky (Kasznik and McNichols. 2002). MBEB firms report a higher series of future earnings (Kasznik and McNichols. 2002). Terminating a string of earning